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