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Compliance Director

2 months ago

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

Corient is seeking a seasoned professional to lead its private funds compliance efforts. The ideal candidate will have a strong background in compliance management, specifically in private funds and CFTC regulations.

Key Responsibilities:
  • Compliance Oversight: Ensure adherence to relevant regulatory requirements, including private funds and CFTC-regulated activities.
  • Risk Management: Identify, assess, and manage compliance risks, providing guidance 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 to ensure adherence to internal and external regulations.
  • Cross-Functional Collaboration: Work closely with other departments 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.
Requirements:
  • 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.