Overview

A large successful real estate investment and private equity organization seeks a Compliance professional. Reporting to the Deputy Chief Compliance Officer (Deputy CCO), this important position is responsible for fulfilling the day-to-day responsibilities of the compliance program for the company’s registered and non-registered advisers to ensure regulatory and ethical requirements are met. 

What you will be doing:

  • Risk Assessment and Testing. Directing regular risk assessments of the activities and operations to establish or modify the components of the compliance program
  • Promulgating and revising the risk map and risk matrix 
  • Preparing and implementing a comprehensive compliance testing program 
  • Performing testing based on the annual risk assessment
  • Regulatory Filings and Exams.  Responsible for drafting regulatory and/or federal filings, including the Form ADVs, Form PFs, Department of Treasury Surveys and any filings associated with the company’s foreign activities; as well as, coordinating responses to regulatory exams and information requests
  • Lobbying Assessment.  Responsible for monitoring corporate activities with regard to lobbying and filing reports with state and local authorities 
  • Compliance-Related Projects.  Assisting with compliance projects related to data privacy, data destruction, new funds/vehicles, etc.   

Education/Experience Requirements:

Bachelor’s degree

Minimum 5 years’ experience in Investment Adviser compliance

Knowledge of legal and compliance terminology and concepts

Knowledge of Investment Advisers Act of 1940

Knowledge of Securities Exchange Act of1934

Please email resumes to Jack Kelly at JKelly@ComplianceSearch.com

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