Senior Compliance Officer, Compliance Management

CI Financial•Chicago, IL

11d•$88,000 - $132,000•Onsite

About The Position

This position is an enterprise compliance role responsible for supporting both Corient’s asset management and private wealth business, serving as a subject matter expert in compliance.

Requirements

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.
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.

Nice To Haves

Knowledge of NFA and CFTC regulations helpful.
Familiarity with Learning Management systems a plus.

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.