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Compliance Analyst

Company: Orix Corporation USA
Location: New York
Posted on: May 28, 2023

Job Description:

ORIX Corporation USA is seeking a Compliance Analyst to join the Legal and Compliance Team in our New York or Dallas, TX office. The candidate will be responsible for assisting the administration of the regulatory compliance program for ORIX Corporation USA. -Responsibilities:Monitoring compliance with the Code of Ethics, as well as policies, procedures, and protocols, including those in respect of personal trading, political contributions, outside business activities, and gift and entertainmentCommunicating with employees at all levels throughout the organization with regard to the above. -Assist with regular compliance testing and monitoring program related to RIA activities.Maintaining compliance monitoring (and related) reports, including in respect of supervised personnel, compliance calendar, and other related activities.Maintaining compliance monitoring and reporting systems, including the personal trading and certifications system, restricted trading list, and other related activities.Assisting with the maintenance, organization, and filing of compliance books and records.Assisting in the preparation and filing of certain regulatory filings such as Form ADV, PF, and 13F as well as certain non-US compliance-related filings including those related to a US manager marketing into Canada.Assisting with other compliance-related projects, as needed.Qualifications:Proficiency in ComplySci (or equivalent Code of Ethics monitoring system), Red Oak, Proofpoint (or equivalent email archival systemProficiency in Microsoft Windows tools, including Word and Excel, and similar systemsStrong organizational skills, detail-orientedAbility to manage, prioritize and follow through on numerous projects simultaneouslyMust be articulate and self-motivatedEntrepreneurial attitude with a desire to work in a collegial, team-first environmentAbility to effectively present information to groups of peers and managersAbility to learn quickly and demonstrated ability to work independently and as part of a high-performance teamFlexibility to take on new tasks and projects as they ariseAbility to work under pressure with tight deadlinesAbility to adjust priorities in a changing environmentAbility to initiate self-development when it comes to understanding and application of new regulations and business changesEducation & Experience:A minimum of 3-5 years of compliance experienceAnnual base salary gross: $80,000 - $100,000 (NY only). The base salary range represents the estimated low and high end of ORIX's salary for this position. Actual base salaries will vary and will be based on various factors, such as the candidate's qualifications, skills, competencies, and proficiency for the role. The base pay is one component of ORIX's total compensation package for employees. Other rewards and benefits include cash bonuses, long-term incentives, health insurance, accident and life insurance, and retirement benefits. Please visit our Benefits page for additional information.ORIX Corporation USA and its affiliates ("ORIX Group USA") strive to achieve as safe an office environment as possible for employees. Accordingly, ORIX Group USA would like to see our vaccination rates against COVID-19 as close to 100% as possible. As of October 4, 2021, employees of any ORIX Group USA company are required to submit proof of vaccination in order to access any of the Company's offices, unless they have an approved medical or religious exemption. In Texas, in accordance with state law, employees will not be compelled to be vaccinated if they object for any reason of personal conscience, based on a religious belief, or for medical reasons, including prior recovery from COVID-19. Should you receive an offer of employment, more information about how to submit proof of vaccination or an exemption request will be provided. Please note that for most roles, ORIX Group USA's expectation is that the majority of employees will need to come into the office more often than not, and that some employees need to come in full-time. -In other words, as a condition of employment, you should expect that if you accept a position at ORIX Group USA you must be fully vaccinated against COVID-19 before your start date, or request and receive an approved exemption shortly thereafter.ORIX USA is an equal opportunity employer, providing equal employment opportunities (EEO), and is committed to diversifying its workforce. All employees and applicants for employment will receive consideration for employment without regard to race, color, religion, sex, national origin, age, disability, genetics, sexual orientation, gender identity or expression, pregnancy, protected veteran status or other status protected by law. This policy applies to all terms and conditions of employment.About UsORIX is a high-energy, rapidly growing company that rewards creativity, talent and a strong desire to succeed. The diverse financial services markets we serve -- and caliber of work we deliver -- enables us to offer a variety of exciting career paths and mobility to meet your personal and professional goals.

Keywords: Orix Corporation USA, New York , Compliance Analyst, Professions , New York, New York

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