Compliance Associate
3 weeks ago
Join a team that values your ambition and empowers your growth
At Corient, we help high- and ultra-high-net-worth individuals and families to enjoy a full life, while enabling them to preserve their wealth for future generations, and provide for the people, causes and communities they care about. We focus on exceeding expectations, simplifying lives, and establishing legacies that last for generations. We are always looking for talented and motivated individuals to join our team. If you want to work for a company that values your contributions and supports your growth, we would like to meet you.
Key Responsibilities:
Perform surveillance of electronic communications to ensure compliance with company policies and applicable regulations.
o Escalate exceptions to business and Compliance management along with supporting documentation.
o Work to improve efficiency of rule sets through observation and testing.
Perform compliance audits and assessments to identify potential risks and areas for improvement.
o Assist in the preparation of test planning memoranda.
o Identify and evaluate key risks and contribute to establishing test scope.
o Lead walkthrough meetings and discussions with the purpose of developing test scope and identifying control issues.
o Develop and execute tests in line with monitoring and testing procedures.
o Appropriately assess potential findings for significance and root cause.
o Prepare test reports articulating clear and concise findings.
o Communicate test findings to Testing Management and business partners.
o Collaborate with business lines to develop remediation plans to resolve control weaknesses identified through testing.
o Track implementation of recommended remediation plans designed to strengthen internal controls to completion as well as perform validation testing of new or updated controls.
Conduct targeted investigations in connection with special requests from management or related to issues uncovered in daily surveillance.
Prepare metrics for monthly and quarterly reporting.
Develop and maintain strong working relationships with Business, Compliance, Legal and Risk groups.
Monitor and stay current on relevant laws, regulations, and industry standards.
Prepare and maintain accurate records and documentation related to compliance and operational activities.
Perform other duties and responsibilities as assigned.
Qualifications:
Bachelor's degree in business, finance, or a related field.
2 to 5 years of Financial Services Industry experience.
Previous experience in compliance, audit, risk or a related role.
Understanding of regulatory
requirements and industry standards (i.e. Investment Advisors Act of 1940, Rule 206(4)-7, and federal securities law).
Excellent analytical and problem-solving skills.
Proficiency in data analysis and reporting tools (e.g., Excel, data visualization software).
Strong Interview, presentation, written communication, time management, organizational and analytical skills.
Detail-oriented.
Enthusiastic, self-motivated.
Physical Requirements
This position requires the physical capabilities to work in an office environment, which may include prolonged periods of sitting at a desk and working on a computer. Corient seeks to make reasonable accommodations that enable individuals with disabilities to perform essential duties when possible.
This position may require the ability to lift up to 15 pounds.
This position is required to work onsite 4 days per week.
U.S. Eligibility Requirements
Must be 18 years of age or older.
Must be willing to submit to a background investigation; any offer of employment is conditioned upon the successful completion of a background investigation.
Must have unrestricted work authorization to work in the United States. For U.S. employment opportunities, Corient hires U.S. citizens or permanent residents. Exceptions to these requirements will be determined based on shortage of qualified candidates with a particular skill. Corient will require proof of work authorization.
Corient participates in E-Verify and will provide the federal government with your Form I-9 information to confirm that you are authorized to work in the U.S. If E-Verify cannot confirm that you are authorized to work, this employer is required to give you written instructions and an opportunity to contact Department of Homeland Security (DHS) or Social Security Administration (SSA) so you can begin to resolve the issue before the employer can take any action against you, including terminating your employment. Employers can only use E-Verify once you have accepted a job offer and completed the Form I-9.
Must be willing to execute Corient’s Employee Agreement or Confidentiality and Non-Disclosure Agreement, which require, among other things, post-employment obligations relating to non-solicitation, confidentiality, and non-disclosure.
What You Can Expect from Us
Our dedication to the Employee Experience at Corient is aimed at supporting, empowering, and inspiring our talented team through:
Flexible & Hybrid Work Program
401(k) Plan with Employer Matching
Four Medical Plan options that is generously subsidized by Corient
Employer paid Dental, Vision & Life and AD&D Insurance
Employer paid Short-term & Long-term
Disability
Paid Maternity & Parental Leave
Flexible Spending Accounts & Health Savings Accounts
Dependent Care FSA
Commuter & Transit FSA
Training
Reimbursement
Paid Professional
Designations
Giving back to the community - Volunteer days
Corient is one of the fastest-growing wealth management platforms in the United States. We serve more than 10,000 clients and manage over $100 billion of assets through offices located across the country. We combine a boutique's personal service, creativity and objective advice with the extensive resources and vast intellectual capital of an innovative industry leader to create a profoundly different wealth management experience for our clients.
Full participation of all employees in a safe, healthy and respectful environment is key to individual and company success. We are committed to fully utilizing the abilities of all our employees and expect each of our employees to honor this commitment in their daily
responsibilities.
We are an equal opportunity employer. All candidates will be recruited and, if applicable, selected and employed without regard to sex, race, religion, marital status, veteran status, age, national origin, sexual orientation, gender identity, color, creed, ancestry, disability, genetic information or any other basis prohibited by law.
At Corient, we combine the personal service, creativity and objective advice of a boutique with the power of an exclusive network of best-in-class advisors, capabilities and solutions to create a profoundly different wealth experience. As fiduciaries, we always put our clients first and at the center of everything we do. We focus on exceeding expectations, simplifying lives and establishing legacies that last for generations.
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