A U.S. SEC-registered investment advisor that manages private equity funds focused on real estate investments.  The firms headquartered in New York City, with regional offices in Los Angeles, London, Washington DC, Dallas, Boston  and Sao Paulo, the firm manages approximately $43 billion in AuM, employs three hundred professionals and manages ten open end and closed end funds, along with a large separately managed account line of business.

The company is seeking a Compliance Associate to support the Chief Compliance Officer of the Securities LLC division, a FINRA member firm, limited purpose broker-dealer.

The position focuses on the following duties and responsibilities:

  • Report to the CCO
  • Assist with managing a comprehensive compliance program for limited purpose BD authorized to promote the private funds of its parent company
  • Monitor and test compliance program
  • Manage annual and quarterly employee compliance reports and attestations
  • Assess and mitigate legal and compliance risks and conflicts of interest
  • Manage regular compliance training of employees
  • Review and approve marketing and advertising material
  • Manage vendor review of marketing and advertising material pursuant to FINRA Rule 2210
  • Review investor due diligence materials and client questionnaires. Draft written responses related to the company’s compliance practices
  • Provide legal and compliance advice to Account Executives regarding U.S. and non-U.S. sales and marketing practices
  • Assist the marketing department and portfolio management teams in the onboarding of investors
  • Administer internal compliance processes and databases
  • Ensure CRM tool is updated and accurate with respect to the companies OFAC and FinCEN obligations
  • Oversee adherence to FINRA’s registration, training, licensing and administrative requirements
  • Provide support and respond to inquiries received from other departments and functions
  • Support FinOP and CEO in respect of ongoing broker-dealer operations
  • Coordinate regulatory deliverables in conjunction with the GC/CCO of the Investment Advisor
  • Facilitate Legal and Compliance Department and its other deliverables



  • A minimum of five to ten years of experience in a similar position at a Broker Dealer business owned by a large bank, insurance company, asset manager or brokerage firm/wire house
  • Bachelor’s degree (JD preferred)
  • FINRA licenses 7, 24 and 63
  • Advanced skills in Excel, electronic compliance tools and Customer Relationship Management Applications
  • Thorough knowledge of the Broker Dealer, Investment Advisor and funds business from a product, corporate governance, regulatory (compliance) and administrative perspective
  • Extensive knowledge of the Securities Act, Investment Company Act and Advisers Act is a must


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

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