Compliance Officer, Compliance Management

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.

Denver, CO or Miami, FL

• Prepare and submit regulatory filings—including SEC Forms 13F, 13H, Form PF, Form NPX and NFA reports, and applicable DOL reports—ensuring accuracy, timeliness, and full compliance with regulatory standards. Create process and standards for ongoing submitting filings.

• Collaborate with cross‑functional teams to gather and validate data from multiple sources. Maintain effective data‑validation controls to ensure completeness and accuracy for reporting purposes.

• Conduct ongoing reviews and audits of reporting processes to confirm adherence to regulatory requirements and internal policies. Promptly identify, investigate, and remediate compliance issues or discrepancies.

• Monitor regulatory changes and industry developments and communicate relevant updates proactively to key stakeholders.

• Bachelor’s degree in finance, business, or a related field.
• 5–7 years of compliance experience within the wealth management or private fund industry.
• Strong knowledge of SEC investment advisory regulations and reporting requirements.
• Excellent analytical, research, and problem‑solving skills.
• Proficiency in Microsoft Excel, Word, PowerPoint, and familiarity with XML formatting.
• Strong written and verbal communication abilities.
• Demonstrated ability to work collaboratively and lead compliance initiatives.

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.

This position is exempt and is paid according to the laws of the State of Colorado or Florida according to the final position location. The pay range for this position is $75,000-$95,000 per year in Colorado. 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.

• This 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.

• Must be 18 years of age or older.
• 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…