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Corient · 13 hours ago

Senior Compliance Officer, Compliance Management

Denver, CO

Full-time

Onsite

Senior Level

$88K/yr - $132K/yr

5+ years exp

Corient is a fast-growing wealth management platform in the United States, dedicated to helping high- and ultra-high-net-worth individuals preserve their wealth. The Senior Compliance Officer will be responsible for maintaining and improving the firm's compliance program, developing governance documents, and delivering compliance training to employees.

AdviceConsultingWealth Management

No H1B

Responsibilities

Maintain and strive to improve the firm's overall compliance program, including drafting and updating the compliance manual, written policies and procedures and Code of Ethics

Developing and maintaining compliance governance documents including committee charters, minutes

Preparing enterprise governance reporting for senior management

Develop and deliver ongoing compliance education and training initiatives for all employees, utilizing Learning Management systems (LMS) and in person training, to ensure they understand their responsibilities and stay current with regulatory changes

Continuously monitor the evolving regulatory landscape, including new rules and enforcement cases, and adapt internal policies and procedures accordingly

Qualification

Regulatory complianceSecurities laws knowledgeAnalytical skillsMicrosoft OfficeLearning Management SystemsCommunication skillsLeadership skillsOrganizational skills

Required

A minimum of 5-10+ years of experience in regulatory compliance within the financial services industry, specifically with a Registered Investment Adviser

Deep understanding of federal and state securities laws, including the Investment Advisers Act of 1940 and the Investment Company Act of 1940 and related SEC rules for wealth management, private and registered funds

Knowledge of NFA and CFTC regulations helpful

Strong analytical, problem-solving, and critical thinking abilities

Exceptional written and verbal communication skills, with the ability to articulate complex regulatory information clearly to all levels of the organization

Strong Microsoft office skills

Leadership and management skills to foster a firm-wide culture of compliance

Meticulous attention to detail and strong organizational skills to manage documentation and deadlines