Compliance Officer, Compliance Management

Description

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.

Compliance Offer. Investment Advisers Act. you will play a crucial role in maintaining our organization's compliance with laws, regulations, and internal policies while optimizing our operational processes. This position could be located in Denver and Miami

Responsibilities :

• Regulatory Compliance : Ensure the firm's compliance with all applicable federal and state regulations, including the Investment Advisers Act.
• Training and Education : Implementation and management of Investment Adviser continuing education program and internal training platforms.
• Reporting : Prepare and submit regulatory filings and reports such as Form U-4 and U-5, Form ADV and 13F. Maintain accurate records of all compliance-related activities.
• Regulatory Updates : Stay informed about changes in regulatory requirements and industry trends and proactively communicate relevant updates to the organization.

Qualifications & Requirements :

To be successful in this role, you will need to have excellent communication and organizational skills, offer creative solutions, and can multitask and handle tight deadlines effectively. You should also be comfortable working in a fast-paced, dynamic environment. Finally, you should be comfortable working independently and as part of a team, and have a positive, can-do attitude.

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.

Physical Requirements

U.S. Eligibility Requirements

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 :

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.