Senior Business Manager- Compliance

Responsibilities

• Strategic Planning & Compliance Program Execution
• Support the CCO in developing and operationalizing global Risk and Compliance strategies, including annual priorities, roadmaps, and measurable outcomes.
• Drive day‑to‑day project and program management for risk and compliance initiatives (global standards, policy updates, regulatory exams, monitoring enhancements, technology implementations, etc.).
• Maintain timelines, risk logs, dependency maps, and follow‑ups to ensure disciplined execution.
• Conduct market, regulatory, and internal analyses to generate insights and recommendations for Risk and Compliance leadership.
• Manage key cross‑functional initiatives involving Legal, Operations Technology, and business units; ensure alignment and timely delivery.
• Leadership Leverage & Executive Communication
• Keep the CCO and Risk and Compliance leadership organized and on track by managing operating cadences, meeting agendas, leadership forums, and follow‑through.
• Build executive‑ready presentations, dashboards, briefing notes, issue summaries, and materials for regulatory discussions, committees, and board‑level updates.
• Track action items and drive accountability across Risk and Compliance and partner functions.
• Ensure consistent messaging and clarity around Compliance goals, priorities, and expectations.
• Governance, Reporting & Performance Management
• Maintain Risk and Compliance dashboards, KPIs, scorecards, and operating review materials.
• Support governance routines including policy review cycles, regulatory readiness, audit/exam preparation, and compliance monitoring activities.
• Maintain operating artifacts such as decision logs, regulatory issue registers, risk assessments, playbooks, and RACIs.
• Financial & Vendor Stewardship
• Support budgeting and forecasting for Risk and Compliance, including headcount, technology spend, and vendor costs.
• Partner with Finance to analyze variances, surface risks/opportunities, and prepare financial updates.
• Oversee vendor tracking, contract renewals, and usage vs. spend analysis; support negotiation preparation where needed.
• Organizational Effectiveness & Change Management
• Assist in workforce planning, organizational design, and resource allocation across Risk and Compliance verticals.
• Partner with cross‑functional groups to support Risk and Compliance technology enablement (e.g., GRC platforms, surveillance tools, regulatory reporting applications, case management systems).
• Identify and implement process improvements to enhance scalability, efficiency, and quality.
• Support change management efforts related to new regulations, new platforms, or organizational changes.
• Regulatory Exam & M&A Support
• Assist with regulatory exam prep, coordinating document requests, status reporting, and leadership updates.
• Support risk and compliance‑related M&A activities including diligence, onboarding, integration plans, issue tracking, and playbook improvements.
• Qualifications & Requirements
• 8-10 years of experience in risk and/or compliance operations, consulting, risk management, PMO, strategy, or similar roles (financial services experience strongly preferred).
• Experience with clients/businesses outside the US
• Experience driving complex, cross‑functional programs with regulatory, risk, or governance components; international, multi-jurisdictional experience is a strong plus.
• Strong PowerPoint and Excel skills; familiarity with compliance systems, dashboards, or BI tools is a plus.
• Excellent written communication and ability to craft concise, executive‑level materials.
• Highly organized, detail‑oriented, and proactive; able to manage multiple priorities in a fast‑paced environment.
• Solid business and technical acumen with the ability to translate complex concepts into clear insights.
• Comfort working with ambiguity and incomplete information while maintaining rigor and accountability.
• Key Competencies
• Action‑Oriented & Reliable: Delivers with consistency and urgency; maintains strong execution discipline.
• Analytical Problem Solver: Applies data, critical thinking, and structured analysis to drive decisions.
• Executive Communication: Creates polished, impactful presentations and written materials for senior audiences.
• Stakeholder Influence: Builds trust, aligns cross‑functional partners, and drives outcomes without authority.
• Operational Excellence: Maintains strong process discipline wh

Additional Information

Join a team that values your ambition and empowers your growth 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.

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