This company seeks a qualified Compliance Associate to assist with oversight of various registered investment adviser and private fund compliance matters. The successful candidate will be able to demonstrate: critical thinking skills, strong written and verbal communication skills, strong interpersonal skills, the ability to handle multiple tasks, possess enthusiasm, initiative, attention to detail, and the ability to work towards solutions. Experience with the following is a plus: real estate funds, hedge funds, fund of funds, and high net-worth clients.
- Work with business units on new initiatives providing oversight and directing compliance with corporate controls
- Work with Compliance and Legal groups to implement corporate governance initiatives
- Be heavily involved with corporate and investor marketing material, including adding appropriate disclosures
- Maintain discretion with regard to highly confidential information
- Review and approve certain marketing presentations and DDQs for private funds
- Audit, maintain, and enhance policies and procedures
- Assist with monitoring progress of the annual compliance review and assist with preparation for internal and external audits
- 2‐4 years regulatory compliance experience with an asset management firm or fund manager required
- J.D. a strong plus
- Experience implementing and conducting regulatory and/or forensic testing
- Experience with SEC and other regulatory requirements relating to investment advisers and alternative products
- Strong written and verbal communication skills
- Can be trusted to act in a manner that is truthful and values honest communication at all levels of the organization
- Ability to deal with and manage the natural conflict occurring between business units and compliance with policies and procedures
- An understanding of and ability to apply SEC marketing rules and No Action guidance Possess enthusiasm, initiative, attention to detail and ability to work toward solutions
This company is a privately owned, diversified investment firm focused on real estate and other private and public asset classes. This company has evolved into a leading national real estate investor and developer with a long history of sponsoring private and public real estate platforms. Over the past 20 years, this company has broadened its focus, investment acumen and portfolio beyond real estate to a range of private and public securities. The company’s founding principles of integrity, collaboration and alignment of interests remain central to the operations of the business today. Today, over 450 professionals across 13 offices are engaged in three primary operating business activities: real estate investment management (CHC‐RE), real estate development (TCR/CHI) and wealth management (CHC‐IP). In addition, the company has a portfolio of long‐ term signature properties and other non‐real estate investments.
If you are interested, please send resumes to Jack Kelly at firstname.lastname@example.org.