Funds Compliance Officer

Corient; New York (NY); On-site; USD 100,000 - 145,000; Full time

Benefits offered by this job

401(k) Plan with Employer Matching

Medical Plan options

Employer paid Dental, Vision & Life Insurance

Paid Maternity & Parental Leave

Training Reimbursement

Volunteer days

Job summary

A prominent financial services firm in New York is seeking a Compliance Officer to join their Private Funds Alternatives Compliance team. This position plays a critical role in ensuring compliance with regulatory requirements and internal policies regarding private funds and registered investment vehicles. The ideal candidate will possess 3–5 years of related experience, advanced skills in Excel and PowerPoint, and strong communication abilities. They will support compliance programs, collaborate with fund managers, and contribute to regulatory filings. This full-time role offers a competitive salary from $100,000 to $145,000 per year.

Qualifications

• 3–5 years in compliance within private funds, alternatives, or asset management.
• Familiarity with Registered 40 Act funds and related compliance requirements.
• Advanced proficiency in Excel (pivot tables, complex formulas).

Responsibilities

• Provide compliance advisory support for private funds and alternative investment products.
• Assist in monitoring and testing compliance programs.
• Collaborate with fund administration teams on compliance-related matters.

Skills

Compliance within private funds

Advanced proficiency in Excel

Strong PowerPoint skills

Verbal and written communication skills

Analytical and problem-solving skills

Education

Bachelor’s degree in Finance, Business, Law, or related field

Tools

Excel

PowerPoint

Job 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.

Base pay range

$100,000.00/yr - $145,000.00/yr

We are seeking a highly motivated Compliance Officer to join our Private Funds Alternatives Compliance team. This individual will play a critical role in supporting compliance oversight for private funds and registered investment vehicles, ensuring adherence to regulatory requirements and internal policies. This role reports to the Head of Private Funds & Alternatives Compliance.

Key Responsibilities

• Provide compliance advisory support for private funds and alternative investment products.
• Assist in monitoring and testing compliance programs to ensure adherence to applicable regulations.
• Collaborate with fund administration teams and engage with fund managers on compliance-related matters.
• Support the development and maintenance of compliance policies and procedures.
• Prepare and deliver presentations and reports for senior management and stakeholders.
• Contribute to regulatory filings and assist with audits and examinations as needed.

Qualifications

• Experience: 3–5 years in compliance within private funds, alternatives, or asset management.
• Technical Skills:
• Advanced proficiency in Excel (pivot tables, complex formulas, data analysis).
• Strong PowerPoint skills for creating clear and impactful presentations.
• Regulatory Knowledge:
• Familiarity with Registered 40 Act funds and related compliance requirements.
• Communication Skills:
• Excellent verbal and written communication skills; ability to interact effectively with management, fund administrators and fund managers.
• Education:
• Bachelor’s degree in Finance, Business, Law, or related field (advanced degree or certifications such as JD, MBA, CFA or CAIA a plus).

Preferred Attributes

• Prior experience from working at a fund manager, fund administrator or large scale fund operation is required.
• Detail-oriented with strong analytical and problem-solving skills.
• Ability to manage multiple priorities in a fast-paced environment.
• Collaborative mindset and proactive approach to compliance challenges.
• Knowledge of foreign jurisdictions and regulations as it pertains to the Alternatives space is a plus.

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.

Pay Information

This position is exempt and is paid according to the laws of the State of New York or Florida. The pay range for this position is $100,000 per year to $145,000 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 be willing to submit to a background investigation; any offer of employment is conditioned upon the successful completion of a background investigation.
• 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

• 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
• Training Reimbursement
• Paid Professional Designations
• Giving back to the community - Volunteer days

Seniority Level

• Associate

Employment Type

• Full-time

Job Function

• Legal and Accounting/Auditing

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.