Overview

Summary:

Our client, a well known asset management company that focuses on real estate, is seeking an Asset Management Compliance Officer.  The Asset Management Compliance Officer is an important contributor to the success of the investment advisory and investment company businesses.  He/She will serve as a key advisor and performer with respect to the compliance program of those businesses, ensuring that all operations and portfolios are managed in compliance with firm policies and procedures as well as the applicable federal and state regulations, including the Investment Advisors Act of 1940 and the Investment Company Act of 1940.

 

Responsibilities:

  • Conduct regular and periodic testing of the investment advisory group’s activities to determine whether existing practices are in compliance with federal and state regulations and the group’s policies and procedures. General areas of analysis may include: trade allocation, documentation and reconciliation, personal security trading, investor communications, proxy voting, privacy and safeguarding of confidential information, books and records retention and anti-money laundering program.
  • Contribute to maintaining a manual of firm policies and procedures for monitoring compliance to ensure policies and procedures are comprehensive and continually reflect the group’s current business processes and regulatory requirements.
  • Assist the Chief Compliance Officer in maintaining a compliance calendar, incorporating a compliance testing schedule and identifying all dates by which regulatory and compliance matters must be comp
  • Assist the Chief Compliance Officer and Director of Internal Audit in maintaining the compliance risk assessment.
  • Monitor the firm’s investments and prepare, review and submit regulatory filings as needed.
  • Assist with developing periodic compliance training.
  • Review and interpret all governing documents, including but not limited to Investment Management Agreements (IMA), Prospectuses, Statements of Additional Information (SAI), and Fund Declarations.
  • Identify ways of creating efficiencies/improving processes to the investment compliance program using best practices.
  • Effectively participate in internal and external audits of controls and associated testing.
  • Undertake special compliance-related projects as assigned.
  • Assist in preparing Board & Committee Reports and Governance matters.
  • Research regulatory laws, rules and regulations.
  • Conduct mock SEC exams and compliance testing.
  • Research regulatory laws, rules and regulations.
  • Develop and evaluate compliance manuals and operational policies and procedures.
  • Update and maintain database of client and regulatory information.
  • Assist internal teams in responding to regulatory inquiries and enforcement actions.
  • Assume additional responsibilities as requested.

 

Requirements:

  • Bachelor’s degree with minimum of 4 years of experience in investment adviser and investment company (including mutual fund) compliance gained in the compliance departments of an investment adviser, at a law firm or with a compliance consultancy firm; relevant legal or business experience will also be considered.
  • Strong knowledge of Investment Advisers Act of 1940, and Investment Company Act of 1940 and general familiarity with rules and regulations applicable to registered investment advisers.
  • Strong organizational, analytical and communication skills, attention to detail, ability to meet strict deadlines and ability to prioritize multiple requests from a variety of sources.
  • Knowledge of investment adviser operations and general familiarity with various investment instruments.
  • Knowledge and experience with assessing, designing, updating and maintaining compliance programs, including compliance policies and procedures, and with testing compliance with those programs.
  • Knowledge and experience with regulatory filing and reporting requirements for SEC registered investment advisers and investment companies (including mutual funds).
  • Ability to thrive in a fast-paced, deadline-driven, and team oriented environment with the ability to multi-task.
  • A self-starter who takes initiative and works independently.
  • Excellent verbal and written communication skills.
  • Excellent collaboration, analytical and strategic thinking skills.
  • Proficient in MS Office applications; knowledge of Bloomberg a plus.

 

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

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