Role Overview

Perform compliance audits and assessments to identify potential risks and areas for improvement.
Assist in the preparation of test planning memoranda.
Identify and evaluate key risks and contribute to establishing test scope.
Lead walkthrough meetings and discussions with the purpose of developing test scope and identifying control issues.
Develop and execute tests in line with monitoring and testing procedures.
Appropriately assess potential findings for significance and root cause.
Prepare test reports articulating clear and concise findings.
Communicate test findings to testing management and business partners.
Collaborate with business lines to develop remediation plans to resolve control weaknesses identified through testing.
Track implementation of recommended remediation plans designed to strengthen internal controls to completion as well as perform validation testing of new or updated controls.
Conduct targeted investigations in connection with special requests from management or related to issues uncovered in daily surveillance.
Perform surveillance of electronic communications to ensure compliance with company policies and applicable regulations.
Escalate exceptions to business and Compliance management along with supporting documentation.
Work to improve efficiency of rule sets through observation and testing.
Prepare metrics for monthly and quarterly reporting.
Develop and maintain strong working relationships with Business, Compliance, Legal and Risk groups.
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.
2 + years of Financial Services Industry experience (Registered Investment Adviser experience a plus)
Previous experience in compliance, audit, risk or a related role.
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 Schwab Advisor Center (SAC) and Fidelity Wealthscape a plus.
Experience with Portfolio Management software and data downloads a plus.
Experience with Global Relay a plus.

Benefits

401(k) Plan with Employer Matching
Four Medical Plan options that is generously subsidized by Corient
Employer paid Dental, Vision & Life and AD&D Insurance
Employer paid Short-term & Long-term Disability
Paid Maternity & Parental Leave
Flexible Spending Accounts & Health Savings Accounts
Dependent Care FSA
Commuter & Transit FSA
Corporate Discount Program
Perkspot
Training Reimbursement
Paid Professional Designations
Giving back to the community
Volunteer days

CI Financial

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Compliance Analyst