Compliance Analyst, Marketing Review

Description

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.

Compliance Analyst, Marketing Review you will play a crucial role in maintaining our organization's compliance with laws, regulations, and internal policies while optimizing our operational processes. You will work collaboratively with cross-functional teams to review and approve marketing materials.  This position could be located in Chicago or Miami.

Key Responsibilities

Review a high volume of marketing materials, including but not limited to enterprise advertisements, brochures, presentations, social media posts, websites, and requests for proposals. Work with business partners to conduct timely reviews, ensuring that materials are compliant with relevant laws, rules and regulations (Investment Advisers Act, Investment Company Act and FINRA, NFA / CFTC, etc.). Deliver accurate, clear, and actionable compliance / regulatory guidance and creative solutions to business partners. Additional responsibilities and tasks as assigned.

Qualifications

• Bachelor's degree required, preferably in business, finance, or a related field.
• At least 2 years of experience in marketing compliance with a registered investment adviser or wealth / asset management firm.
• Strong understanding of regulatory requirements and industry standards relating to advertising and marketing initiatives, including Rule 206(4)-1, private fund offerings and alternative investments.
• Excellent analytical and problem-solving skills.
• Proficient in MS Office (Outlook, Word, Excel, PowerPoint, Teams).
• Strong time management, communication, and interpersonal skills.
• Detail-oriented and highly organized.
• Enthusiastic and self-motivated.

This position is exempt and is paid according to the laws of the State of Chicago. The pay range for this position is $55,000 - $68,000. 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.

To be successful in this role, you will need to have excellent communication and organizational skills, offer creative solutions, and can multitask and handle tight deadlines effectively. You should also be comfortable working in a fast-paced, dynamic environment. Finally, you should be comfortable working independently and as part of a team, and have a positive, can-do attitude.

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.

Physical Requirements

U.S. Eligibility Requirements

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 :

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.