Risk Manager

ci; New York (NY); On-site; USD 110,000 - 145,000; Full time

Job summary

Corient is seeking a seasoned professional to lead and operate its risk and control program within Wealth Management. You will design and implement controls across contract to billing, money movement, and trade execution, and partner with Compliance, Finance, Operations and IT to drive risk mitigation.

The role requires hands-on knowledge of SOX 404 and RCSA, 4–8+ years in financial services, and a Bachelor's degree; CPA or audit certifications are a plus.

Qualifications

• Hands-on knowledge of internal controls over financial reporting and SOX 404.
• 4–8+ years of experience in the financial services industry preferred.
• Bachelor's degree required; CPA or relevant audit certifications a plus.
• Knowledge of MetricStream, Salesforce, Addepar and Workday is a plus.
• Knowledge of IT General Controls a plus.

Responsibilities

• Building, enhancing, and operating the firm's Operational Risk and Control environment.
• Designing and implementing controls; monitoring and testing their effectiveness.
• Overseeing Contract to billing, Money movement, and Trade execution controls.
• Managing Custodian User Access and Segregation of Duty reviews.
• Conducting design and operating effectiveness control testing.
• Developing and maintaining business procedures and playbooks for consistent control execution.
• Translating complex risks into actionable tasks and collaborating with Compliance, Finance, Operations and IT.
• Supporting special projects and ad hoc analyses related to corporate strategy and integration.

Skills

SOX 404

RCSA

SOC reporting

Control design

Operating effectiveness testing

Remediation

Education

Bachelor's degree

CPA or audit certifications

Tools

MetricStream

Salesforce

Addepar

Workday

Job description

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.

About Us

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.

Role Responsibilities

• Building, enhancing, and operating the firm's Operational Risk and Control environment for Wealth Management, including control design and implementation; control monitoring and testing
• Executing, supervising and/or QA of control performance for: Contract to billing
• Money movement
• Trade execution
• Custodian User Access and Segregation of Duty Reviews
• Conducting design and operating effectiveness control testing
• Developing and maintaining business procedures, playbooks, and guidance that enable consistent execution of those standards.
• Translating complex risks and control remediation plans into clear, actionable tasks
• Partnering with Compliance, Finance, Operations and IT to support strategic priorities, risk mitigation and control execution
• Support special projects and ad hoc analyses related to corporate strategy, acquisition integration and control establishment
• Preparing reports, dashboards, and risk insights for senior leadership

Qualifications

• Hands-on knowledge of Internal Controls over Financial Reporting / SOX 404, Risk and Control Self-Assessments (RCSA), SOC reporting, control design and operating effectiveness testing, and remediation
• 4-8+ years of experience in the financial services industry preferred
• Bachelor's degree required. CPA or relevant audit certifications a plus
• Knowledge of MetricStream, SalesForce, Addepar and Workday a plus
• Knowledge of IT General Controls 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 (New York, NY)

This position is exempt and is paid according to the laws of the State of New York. The pay range for this position is $110,000 - $145,000 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 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 terminat