Our Client, a leading investment manager in the Real Estate industry, has an impressive background with over $70 billion in total debt assets and real estate under their management, with a large portfolio of strategies across the risk and return spectrum.
Responsibilities:
- Oversee the firm's compliance monitoring technology platform and conduct reviews of Code of Ethics preapprovals.
- Provide assistance to the business regarding inquiries pertaining to compliance with company policies.
- Administer and oversee quarterly attestations, including assessments of outside business activities, reviews of gifts and entertainment, and evaluations of political contributions.
- Actively participate in maintaining, monitoring, and improving the firm's compliance policies and procedures.
- Contribute to the organization and operation of our client's compliance functions.
- Manage compliance records.
- Collaborate with the firm's marketing team to review marketing materials.
- Coordinate the timely completion and submission of regulatory filings, such as Form ADV, Form PF, and others.
- Conduct regulatory analysis concerning SEC rulemaking.
- Aid in fund onboarding and conduct investor AML/KYC procedures.
- Oversee the compliance program for personal trade reviews.
- Support the overall functions of the Legal and Compliance Department for our client's investment adviser and broker-dealer.
Qualifications:
- Minimum of three to six years of experience in compliance within a dynamic and sophisticated financial services environment.
- Bachelor's degree required; JD preferred.
- Possess strong organizational skills with the ability to manage multiple tasks efficiently.
- Demonstrate self-motivation, reliability, enthusiasm, and a positive demeanor.
- Exhibit exceptional verbal and written communication abilities, coupled with keen attention to detail.
- Capable of working autonomously with the capacity to exercise sound judgment.
- Skilled in effective oral and written communication, adept at engaging professionally with individuals at all organizational levels.
- Proficient in Microsoft Word, PowerPoint, Outlook, and Excel.
Logistics of the Role:
- Salary: $100,000-$130,000 (dependent upon candidate's experience, job-related knowledge, and qualifications) + bonus structure
- Job Site: Hybrid
- Benefits: Health care coverage, a comprehensive 401K, company-sponsored volunteer opportunities, individual volunteer time off, parental leave and childcare programs, as well as other benefits and discount purchase programs.
