JOB TITLE: Regulatory Compliance Director - Real Estate PE
HIRING FIRM: Elite Real Estate Private Equity Firm in downtown Los Angeles
- This Private Equity Firm is an elite institutional real estate investment manager operating solely in the US. This firm is registered as an investment adviser under the Investment Advisers Act of 1940, and is an ERISA fiduciary to its largest fund.
THE ROLE:
- As Compliance Officer, you will assist with the day-to-day activity relating to the firm's compliance program which focuses on compliance with the Advisers Act, securities laws, ERISA, privacy laws, and other applicable laws as well as compliance with its and its funds' and separate accounts' policies and contracts.
ESSENTIAL FUNCTIONS:
- Oversight and review of various materials, such as client presentations, reporting documents, requests for proposal, social media content, and the website.
- Assist in managing, enforcing, and testing policies and procedures, including Code of Business Conduct and Ethics, Business Continuity and Disaster Recovery Back-Up Plan, Cybersecurity Policy, Privacy Policy, and ESG+R policies.
- Support matters related to relevant laws, such as the Advisers Act, including Form ADV and Form PF, compliance testing, audits, custody audits, and records retention.
- Assist with securities laws matters including maintaining Regulation D exemptions, Form D filings, and Blue Sky filings.
- Review and monitor funds as well as separate accounts to ensure that they are operated in compliance with their organizational documents and related legal and regulatory requirements
- Monitor activities and review OFAC search results and OFAC provisions in agreements for compliance with the firm's OFAC program.
- Support relating to GIPS compliance matters including maintaining the firm's GIPS Policies and Procedures, GIPS reports, and annual GIPS verification.
- Provide support with the firm's compliance with applicable privacy laws including CCPA.
- Stay current with applicable legal and regulatory changes and synthesize and communicate such changes to the appropriate firm teams/individuals.
CANDIDATE QUALIFICATIONS:
Essential Experience and Skills
- Undergraduate Degree.
- A minimum of six (6) years of compliance experience involving Advisers Act matters. Prior experience at a registered investment adviser is required.
- Demonstrate strong written and verbal communication skills, including ability to articulate recommendations in a clear and concise manner
- Must be detailed oriented and able to prioritize tasks, projects, and assignments to ensure that all projects are completed well and in a timely manner.
COMPETENCIES:
The ideal candidate will exhibit competency in the following areas
- Creative Thinking - An innovative thinker who can translate thoughts into actionable items.
- Works Collaboratively - A team player committed to achieving objectives through collective action.
- High Energy - Thrives in a fast-paced, dynamic environment where multi-tasking is essential.
- Models the Firm's Values - Conducts daily business and interactions with mindfulness to reflect the firm's culture and promote its values and standards.
- Results Driven - Outperforms expectations and promotes a competitive advantage through analytical problem-solving.
JOB SPECIFICATIONS:
- Expected work hours: 8:30 to 5:30, Monday through Friday, with occasional weekends.
- Hybrid Environment. 3 days in-office, 2 days WFH/
- Work environment and physical demands: General office environment.
- Vaccination is required to entire the workspace and the firm will consider accommodations for disability-and religious-based reasons.
