Compliance Director

4 weeks ago

Miami FL USA, United States Corient Full time
Compliance Expert Sought for Private Funds Role

Corient is seeking a seasoned professional with a strong background in compliance management, specifically in private funds and CFTC regulations. This role requires an individual with 7-12 years of compliance experience across various areas, who is both detail-oriented and capable of managing larger initiatives.

Key Responsibilities:

  • Regulatory Compliance: Manage and ensure compliance with relevant regulatory requirements, specifically within private funds and CFTC-regulated activities including applicable regulatory filings.
  • Risk Assessment: Identify, assess, and manage compliance risks, providing guidance and recommendations to the business on regulatory matters.
  • Policy Development: Assist in developing and implementing compliance policies and procedures to align with current regulatory frameworks.
  • Auditing and Monitoring: Conduct regular compliance audits, ensuring adherence to both internal and external regulations.
  • Cross-Functional Collaboration: Work closely with other departments, including legal and operations, to ensure consistent compliance across the firm.
  • Project Management: Lead larger compliance initiatives and projects, ensuring timely and effective execution.
  • Mentorship: Provide guidance to junior compliance staff and collaborate with senior management to ensure a strong compliance culture.

Key Qualifications:

  • 7-12 years of compliance experience, with a focus on private funds and CFTC regulations.
  • Strong understanding of regulatory frameworks and industry best practices.
  • Ability to work across all areas of compliance, from granular details to high-level strategy.
  • A willingness to take on tasks and responsibilities both above and below the typical pay grade.
  • A proactive, "in the weeds" mentality, with the aptitude for managing large, complex projects.
  • Excellent communication skills and the ability to work effectively in a team-oriented environment.

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