Compliance Associate, Marketing Review

Corient

Location: Chicago, New York or Miami

At Corient, we help high- and ultra-high-net-worth individuals, families and high achievers of all types 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 helping establish lasting legacies. 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.

Position Overview:

As a Compliance Associate, 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 from a regulatory perspective. This position could be located in Chicago, New York, or Miami.

Key Responsibilities:

Review high volume of marketing materials, including but not limited to advertisements, brochures, presentations, social media posts, websites and requests for proposals. Work with the Marketing Department and other areas of the business to timely review and approve marketing materials, ensuring that materials are compliant with relevant laws, rules and regulations (Investment Advisers Act, Investment Company Act and FINRA). Deliver accurate, clear and actionable compliance and regulatory guidance to business partners. Additional responsibilities as assigned.

Qualifications:

• Bachelor's degree required, preferably in business, finance, or a related field.

• At least 5 years of experience in marketing compliance with a registered investment adviser.

• Strong understanding of regulatory requirements and industry standards, including knowledge of advertising and communication rules for SEC registered investment advisers, FINRA broker dealers, registered investment companies, private fund offerings, and GIPS Standards.

• 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.

To be successful in this role, you will need to have excellent communication skills, exceptional organizational skills, and the ability to multitask 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.

To apply, respond to LinkedIn Posting: https://bit.ly/3MJKF4v, or email CV to hong.lam@corient.com