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.
Requirements
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.
Pay Information
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.
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.
Ci · IL Chicago 10 Swacker 3100