Key Responsibilities:

• Manage the Firm’s Code of Ethics Program including policies governing personal trading, gifts and entertainment, outside business activities, political contributions, conflicts of interest, and certifications.
• Escalate exceptions to business and Compliance management along with supporting documentation.
• Work to improve efficiency of rule sets through observation and testing.
• Act as one of the primary contacts for responding to policy questions related to the Code of Ethics.
• Conduct targeted investigations in connection with special requests from management or related to issues uncovered in daily surveillance.
• Act as administrator and systems expert for our Code of Ethics Monitoring tool.
• Prepare metrics for monthly and quarterly reporting.
• Develop and maintain strong working relationships with Business, Compliance, Legal and Risk groups.
• Identify, present recommendations, and ultimately implement solutions for improving processes within the program to build efficiencies and improve workflows
• 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.
• 5 + years of Financial Services Industry experience (Registered Investment Adviser experience a plus)
• Previous experience in compliance, audit, risk or a related role.
• A strong understanding of regulatory requirements and industry standards (i.e. Investment Advisors Act of 1940, Rule 206(4)-7, and federal securities laws).
• 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.

• Experience with STAR Compliance monitoring tool a plus.

To be successful in this role, you will need to have excellent communication skills, exceptional organizational skills, and the ability to multitask effectively. You should also be comfortable working in a fast-paced, dynamic environment and be able to handle pressure with grace and professionalism. Finally, you should be comfortable working independently and as part of a team, and have a positive, can-do attitude.

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 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.

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:

• 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

• Corporate Discount Program - Perkspot

• Training Reimbursement

• Paid Professional Designations

• Giving back to the community - Volunteer days