Compliance Associate, Compliance Management – Asset Management

Segall Bryant & Hamill is an investment firm with locations in Chicago, Denver, New York, St. Louis, and Philadelphia. For more than a quarter century, SBH has been helping investors realize their long-term investment objectives through a time-tested, disciplined process. We offer a wide range of investment strategies and aim to build long-lasting relationships with our clients in the Advisor Solutions and Institutional channels.

Segall Bryant & Hamill is an equal opportunity employer, and all qualified applicants will receive consideration for employment without regard to race, color, religion, sex, national origin, disability status, protected veteran status, or any other characteristic protected by law.

Segall Bryant & Hamill is a wholly owned subsidiary of Corient Management LLC, which is a wholly owned subsidiary of Corient Holdings Inc., headquartered in Miami, Florida. Corient Holdings Inc. is a wholly owned subsidiary of CI Financial Corp. (TSX: CIX)

Summary

This position will play a critical role in assisting SBH to adhere to regulatory requirements and industry standards. You will be an integral part of implementing and overseeing the Compliance program to minimize risks and maintain the integrity of our operations. The ideal candidate will have had experience with securities laws, rules and regulations applicable to registered investment advisers and private fund offerings, in particular the Investment Advisers Act of 1940 and Investment Company Act of 1940. Additionally, the candidate must possess an understanding of the business operations, practices, procedures, and controls specific to the business units supported. The candidate must be able to take ownership for the delivery of projects while also operating successfully in a cross-functional team environment. This position reports to the Co-Head of Compliance Management – Asset Management and offers an opportunity to make a significant impact on our firm's success and reputation. This position could be located hybrid in New York, Denver, Chicago, and Miami.

Key Accountabilities

• Regulatory Compliance: Assist with the firm's compliance with applicable federal and state regulations, including but not limited to SEC rules.
• Policy Development: Assist in developing and maintaining compliance policies, procedures, and practices to align with changing regulatory requirements and industry best practices.
• Training and Education: Assist in the creation of compliance training for employees to raise awareness and understanding of regulatory issues, ethics, and best practices. Onboard new employees in the firm Code of Ethics policy.
• Reporting: Prepare and submit regulatory filings and reports as required by federal and state regulators. Maintain accurate records of compliance-related activities.
• Risk Assessment: Assess the firm's compliance risks and work collaboratively with senior management to develop strategies for risk mitigation.
• Compliance Audits: Assist in external compliance or regulatory audits and internal compliance reviews.
• Client Communication: Address compliance-related inquiries from clients and maintain transparency regarding the firm's compliance program.
• Regulatory Updates: Stay informed about changes in regulatory requirements and industry trends, and proactively communicate relevant updates to the organization.

Qualifications

• Bachelor's degree required, preferably in a business-related area of study, additional certifications a plus.
• At least 5 years of experience in compliance with a Registered Investment Adviser, preferably with asset management industry knowledge.
• In-depth knowledge of SEC rules and regulations.
• Able to analyze situations and/or problems by considering alternative solutions.
• Able to communicate clearly and succinctly, both verbally and written, in a variety of settings and with multiple communication styles.
• Ability to work collaboratively on a team and lead compliance initiatives.
• Knowledge of general business principles as well as current and possible future policies, practices, trends, and information affecting the business.
• Desire to keep abreast of best practices as well as evolving issues within scope of the position.
• Proficient in MS Office (Outlook, Word, Excel, PowerPoint, Teams).
• Knowledge of Compliance Code of Ethics software solutions is a plus.

WHAT WE OFFER:

• SBH offers a culture defined by a core set of values which guide the advice we provide, the strategies we recommend, the way we manage client portfolios and the way we treat our employees. These values are Integrity, Trust, Humility, Curiosity, and Inclusion.
• SBH offers a diverse and inclusive work environment where individuals from varied backgrounds are brought together, treated with respect, supported and valued so that the firm and its employees, clients and community will benefit from a strong culture, diversity of thought and more robust decision making.
• SBH offers autonomy and accountability.
• SBH offers benefits and work/life balance to meet each employee at their stage in life
• SBH offers programs so employees can take an active role in the communities where they live & work.
• SBH offers a performance management program and a dedicated Compensation Committee to ensure competitive compensation packages

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.