Key Responsibilities & Skills- Building, enhancing, and operating the firm's Operational Risk and Control environment for Wealth Management, including control design and implementation; control monitoring and testing
- Executing, supervising and/or QA of control performance for:
- IT General Controls
- Custodian User Access and Segregation of Duty Reviews
- Conducting design and operating effectiveness control testing
- Developing and maintaining business procedures, playbooks, and guidance that enable consistent execution of those standards.
- Translating complex risks and control remediation plans into clear, actionable tasks
- Partnering with Compliance, Finance, Operations and IT to support strategic priorities, risk mitigation and control execution
- Support special projects and ad hoc analyses related to corporate strategy, acquisition integration and control establishment
- Preparing reports, dashboards, and risk insights for senior leadership
Experience & Knowledge- Hands-on knowledge of Internal Controls over Financial Reporting / SOX 404, Risk and Control Self-Assessments (RCSA), SOC reporting, control design and operating effectiveness testing, and remediation
- 3-6 years of experience in the financial services industry preferred
- Bachelor's degree required. Relevant audit certifications a plus
- Knowledge of SalesForce, Addepar and Workday a plus
- Experience in implementing MetricStream a plus
- Experience in implementing AI for process automation a plus
This position description is intended to provide a general overview of the expectations and responsibilities of this position and may not include all tasks that may be assigned. As the nature of business demands change, so may the functions of this position. Additional duties and responsibilities may be assigned with or without notice.
Pay Information (New York, NY):
This position is exempt and is paid according to the laws of the State of New York. The pay range for this position is $90,000 - $112,000 USD per year. We are required to provide a reasonable estimate of the compensation range for this role. This range takes into account the wide range of factors that are considered in making compensation decisions including but not limited to experience, skills, knowledge, abilities, education, licensure and certifications, and other business and organizational needs. It is not typical for an individual to be offered a salary at or near the top of the range for a position. Salary offers are determined based on final candidate qualifications and experience.
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.
- 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:
- 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
