Overview

In what the company’s hiring manager considers the ‘crown jewel’ department of their organization, they are looking for a Compliance Manager, Real Estate to work in Texas (where there is no personal income tax, FYI).

The Compliance Manager reports to the CCO, Private Markets, North America. As part of this position, the Compliance Manager will liaise with other members of the Real Estate and Private Markets compliance platforms to promote consistency and efficiency among the programs. In working with the CCO, the role is primarily responsible for day to day implementation of the Real Estate’s overall compliance program and seeking to ensure that the Real Estate’s activities satisfy all pertinent legal, regulatory, and policy requirements. This position will be in Dallas, TX.

Key Responsibilities / Duties:

  • Design, implement, and monitor programs, policies, and practices for Compliance with regulatory and policy requirements by the relevant business areas.
  • Reports on a regular basis to the CCO and business senior management on the progress of implementation and assist those teams in practical implementation of the compliance program.
  • Periodically revise the program in light of changes in the needs of the organization, including the broader IPM platform, and in the law and policies and procedures surrounding RIAs and real estate/alternatives firms.
  • Develop, coordinate, and participate in a multifaceted educational and training program that focuses on the elements of the compliance program.
  • Ensure that all appropriate employees and management are knowledgeable of and comply with pertinent regulatory and policy standards.
  • Coordinate internal risk assessment, monitoring and testing program and works with business partners to address findings and observations.
  • Supports the CCO and other members of the Compliance Department on regulatory and investor inquiries.
  • Independently investigate and act on matters related to compliance (e.g. responding to reports of problems or suspected violations) and coordinates any resulting corrective actions.
  • Coordinate with the internal audit department to identify potential controls to audit and assist that team in their review efforts, as needed.
  • Undertake special ad hoc compliance projects (e.g., Forensic testing, ad hoc requests pertaining to the Real Estate or Private Market generally).

Please send your resume to Jack Kelly at jack@compliancesearch.com.

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