Compliance Director, Marketing Review

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.

Key Responsibilities:

• Provide compliance oversight and governance for marketing materials, with a primary focus on alternative investments, private funds, and registered fund products.  May also review collateral for other business units as business needs require.
• Support development and enhancement of marketing compliance processes, controls and workflows.
• Partner with global compliance teams to assess jurisdictional requirements and maintain consistent messaging and documentation standards across applicable products, vehicles and regions.
• Apply knowledge of US, Canada, and EMEA regulations applicable to marketing communications, including requirements related to alternative investments, private funds, and registered fund products.
• Interact with key business partners and stakeholders to provide accurate, clear, and actionable compliance and regulatory guidance. Serve as a resource on all compliance marketing questions.
• May co-maintain relationships with vendors supporting the marketing review workflow, AI compliance solutions or other emerging compliance technology tools.
• Additional responsibilities and other ad-hoc projects as assigned.

Qualifications:

• Bachelor's degree required, preferably in business, finance, or a related field.
• 5-7 years of experience in marketing compliance or as a compliance generalist, with a registered investment adviser, asset manager, or similar financial services organization.
• Strong time management, communication, and interpersonal skills, with the ability to manage ambiguity and high-volume reviews in a high-paced environment.
• Strong understanding of global regulatory requirements and industry standards.
• Proficient with technology, including AI-enabled tools, workflow platforms (Red Oak), and emerging compliance reg-tech used to support marketing review and oversight processes.
• Excellent analytical and problem-solving skills.
• Proficient in MS Office (Outlook, Word, Excel, PowerPoint, Teams).
• Ability and confidence to interact effectively with all levels of the business and serve as a knowledgeable, solutions-oriented compliance resource.
• Agile, self-starter who is enthusiastic, self-motivated, detail-oriented and highly organized and comfortable working independently in a fast-paced environment.

To be successful in this role, you will need to have excellent communication skills, exceptional organizational skills, and the ability to multitask effectively while managing a high volume of reviews in a high-paced, dynamic environment. This is a high-visibility, interdepartmental role. You should be comfortable working independently and as part of a team, and have a positive, can-do attitude.

This position is exempt and is paid according to the laws of the State of New York. The pay range for this position is 130K - 170K 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 Requirements

• 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.

U.S. Eligibility Requirements

• 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 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:

• 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

Corient is the world’s largest multi-family office and non-bank wealth manager focused on serving ultra-high- and high-net-worth clients. As the industry’s only global professional services partnership, we combine the personal service and objectivity of a boutique with the scale and resources of a global institution. Our partnership model fosters collaboration over competition, bringing together the collective expertise of Corient to each relationship to deliver a transparent, client-first experience. As a fully integrated global firm, we deliver comprehensive solutions across investment management, wealth strategy and family office services to help clients simplify their lives, manage their wealth and establish lasting legacies.

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.

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.

Corient refers to the separate but affiliated entities under common control of Corient Holdings Inc. Client assets include all assets of Corient Holdings Inc., including majority- and minority-owned businesses.