The asset management division of a diversified financial services firm seeks a Compliance executive for one of their specialty divisions. This alternative investments unit focuses on Real Estate.
The company seeks a senior compliance professional knowledgeable in alternative asset classes, private funds and investment advisory issues to assist its Global Head of Compliance in overseeing a full range of compliance matters. This group, in business for about 50 years, has in excess of $160 billion under management, with offices worldwide.
The candidate will report to the Head of Compliance for this group. This position has significant visibility with senior management and direct interaction with global portfolio management, distribution and operations.
The Compliance VP will assist the Global Head of Compliance in discharging the firm's overall compliance program with particular focus on the Americas businesses, including its operations in the United States and Latin America. The position is supported by eight US-based associates and two Mexico-based associates. The position requires a candidate with strong management skills and an ability to develop relationships, sometimes from afar, with staff and senior business executives in the region. This position will also be expected to act as backup to the Real Estate Global Head of Compliance in interfacing with senior business managers in the Americas; participation in governance committee; and, representing the unit in matters relating to non-US regions, when the CCO is not available or as resource constraints dictate.
The incumbent will be expected to be thoroughly knowledgeable about Real Estate and Real Estate Finance Compliance Programs and to assist in leading and developing both junior and seasoned members of the compliance team.
Candidates must possess a deep understanding of the Investment Advisers Act of 1940, and other related federal securities laws such as ERISA, and the Foreign Corrupt Practices Act. The incumbent will be expected to provide strategic direction to the unit's activities as well as engage in direct compliance support of Real Estate product initiatives and other activities. The individual will be expected to establish a significant presence in the area of real estate asset management compliance through participation on industry working groups and other activities.
The role has responsibility for compliance monitoring, support of marketing activities, compliance training, creating and implementing new policies and procedures, and forensic testing. In addition, the position will assist in monitoring business activities to ensure they are performed in compliance with Company policy, securities laws, and SEC, FINRA, state insurance and applicable foreign regulations. The incumbent will play a key management role within the Compliance organization and assist the Global Head of Compliance in the overall activities of the unit.
The position will also support the broader Compliance organization with cross-business initiatives and compliance projects across other global business units in collaboration with their chief compliance officers. The incumbent will lead multiple projects that strengthen and maintain compliance activities within Real Estate and more broadly across the organization. The incumbent will also partner with the Law Department on a regular basis to analyze changes to regulatory requirements and proactively manage regulatory developments and changes.
Please email resumes to Jack Kelly at .