Compliance Manager, Regulatory Reporting

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.Responsibilities Regulatory Reporting: Preparation and submission of regulatory reports such as; SEC Form 13F, 13H, Form PF and various DOL reports. Ensuring accuracy, timeliness, and compliance with regulatory requirements (e.g., SEC, DOL). Data Management: Ability to work collaborate with cross-functional teams to gather, coordinate, and validate data from various sources to ensure accuracy and completeness for regulatory reporting purposes. Develop and maintain robust data validation processes and controls. Compliance Monitoring: Conduct regular reviews and audits of reporting processes to ensure adherence to regulatory guidelines and internal policies. Identify and address compliance issues or discrepancies promptly. Policy and Procedure Development: Assist in the development, implementation, and maintenance of compliance policies, procedures, and controls related to wealth management reporting. Training and Awareness: Provide training and guidance to wealth management teams on compliance requirements, reporting obligations, and best practices. Foster a culture of compliance awareness within the organization. Risk Assessment: Conduct risk assessments related to wealth management reporting activities. Recommend and implement enhancements to mitigate compliance risks effectively. Documentation and Recordkeeping: Maintain accurate and comprehensive documentation of compliance activities, reports, and audit trails. Ensure records are organized and accessible for audits and regulatory examinations. Qualifications & Requirements Bachelor's degree in Finance, Business Administration, Accounting, or certification in Compliance or related field (e.g., IACCP) preferred. Approximately 5 years of proven experience in compliance management within the financial services industry, with a focus on regulatory reporting (e.g., Form 13D, 13G, 13H, Form PF, etc.). Experience with data validation processes. Excellent excel and analytical skills and attention to detail, with the ability to interpret complex regulatory requirements and apply them to operational practices. Effective communication and interpersonal skills, with the ability to collaborate with stakeholders at all levels of the organization. Ability to work independently, prioritize tasks, and manage multiple deadlines in a fast-paced environment. Competencies listing for Job Family AnalyticalCritical Thinking Business Acumen Communication Dealing with Ambiguity Foresight Judgement 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 This position is exempt and is paid according to the laws of the State of New York. The pay range for this position is $79,360 - $119,040 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 RequirementsThis 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 RequirementsMust be 18 years of age or older.Must be willing to submit to a background investigation; any offer of employment is conditioned upon the successful completion of a background investigation.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.Corient participates in E-Verify and will provide the federal government with your Form I-9 information to confirm that you are authorized to work in the U.S. If E-Verify cannot confirm that you are authorized to work, this employer is required to give you written instructions and an opportunity to contact Department of Homeland Security (DHS) or Social Security Administration (SSA) so you can begin to resolve the issue before the employer can take any action against you, including terminating your employment. Employers can only use E-Verify once you have accepted a job offer and completed the Form I-9.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:Flexible & Hybrid Work Program 401(k) Plan with Employer Matching Four Medical Plan options that is generously subsidized by CorientEmployer paid Dental, Vision & Life and AD&D Insurance Employer paid Short-term & Long-term Disability Paid Maternity & Parental Leave Flexible Spending Accounts & Health Savings AccountsDependent Care FSA Commuter & Transit FSA Corporate Discount Program - Perkspot Training Reimbursement Paid Professional Designations Giving back to the community - Volunteer days Corient is one of the fastest-growing wealth management platforms in the United States. We serve more than 10,000 clients and manage over $100 billion of assets through offices located across the country. We combine a boutique's personal service, creativity and objective advice with the extensive resources and vast intellectual capital of an innovative industry leader to create a profoundly different wealth management experience for our clients. Full participation of all employees in a safe, healthy and respectful environment is key to individual and company success. We are committed to fully utilizing the abilities of all our employees and expect each of our employees to honor this commitment in their daily responsibilities. We are an equal opportunity employer. All candidates will be recruited and, if applicable, selected and employed without regard to sex, race, religion, marital status, veteran status, age, national origin, sexual orientation, gender identity, color, creed, ancestry, disability, genetic information or any other basis prohibited by law.

Created: 2024-10-27