JOB DESCRIPTION SUMMARYThe Director of Compliance supports and helps administer the compliance program for the firm's SEC-registered investment adviser and FINRA-registered broker-dealer. Sitting within the Compliance team and reporting directly to the Chief Compliance Officer, this role partners closely with Legal, Investor Relations, Accounting, Investments, and Portfolio Management to ensure that the firm's advisory activities, marketing materials, and recordkeeping obligations meet regulatory standards across its real estate, credit, and infrastructure private fund platform. The Director monitors regulatory developments and plays a central role in drafting and refining compliance policies and procedures to keep the program current, practical, and well-documented.
JOB DESCRIPTIONKey Responsibilities:• Administer and continuously improve the firm's written compliance policies and procedures in accordance with Rule 206(4)-7 under the Advisers Act.
• Monitor regulatory developments from the SEC, FINRA, and other applicable regulators, and assess their impact on the firm's advisory and broker-dealer compliance programs.
• Draft compliance memoranda documenting regulatory analysis, interpretive positions, and the rationale behind compliance decisions.
• Identify and implement opportunities to automate, streamline, and otherwise improve the efficiency of existing compliance workstreams.
• Review and approve marketing materials, including performance presentations, track records, and case studies.
• Support the firm's annual compliance review process under Rule 206(4)-7, including testing.
• Assist with the preparation, review, and timely filing of Form ADV, Form PF, Form D, and other regulatory filings.
• Administer the firm's personal trading, gifts and entertainment, political contributions, and outside business activity policies, including pre-clearance.
• Coordinate the firm's responses to regulatory examinations.
• Assist in developing and delivering firm-wide compliance training on regulatory requirements, firm policy, and emerging risk areas.
• Maintain and oversee the firm's books and records program.
• Track and manage compliance calendars, deadlines, and action items.
Basic Knowledge and Qualifications:• Bachelor's degree required; J.D., CPA, CFA, paralegal certificate, or other advanced degree or certification a plus.
• 7+ years of relevant compliance or regulatory legal experience, preferably with an investment adviser or broker-dealer that sponsors private funds.
• Series 7, 24, and/or 82 licenses a plus, or willingness to obtain within a defined period.
• Strong analytical, written, and verbal communication skills, with the ability to translate complex regulatory requirements into practical guidance.
• Self-starter with strong organizational and managerial skills and a demonstrated ability to drive results under ambiguity.
• Demonstrated ability to manage multiple projects and deadlines independently in a fast-paced environment.
• High degree of professional integrity, sound judgment, and discretion in handling confidential and sensitive information.
• Demonstrated proficiency in Excel and PowerPoint required. Experience with compliance recordkeeping systems (e.g., ACA Compliance Alpha, ComplySci, Global Relay) and enterprise AI tools (e.g., ChatGPT, Claude) is a plus.
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The salary range for this position is $175,000-$185,000 USD Annually.
Additional Compensation:
Many factors go into determining employee pay within the posted range including business requirements, prior experience, current skills and geographical location.
- Corporate Positions: In addition to the base salary, this role may be eligible to participate in a quarterly or annual bonus program based on individual and company performance.
- Onsite Property Positions: In addition to the base salary, this role may be eligible to participate in weekly, monthly, and/or quarterly bonus programs.
Robust Benefits Offered*:- Competitive Medical, Dental, Vision, and Disability & Life insurance benefits. Low (free basic) employee Medical costs for employee-only coverage; costs discounted after 3 and 5 years of service.
- Generous Paid Time off. All new hires start with 15 days of vacation, 4 personal days, 10 sick days, and 11 paid holidays. Plus your birthday off after 1 year of service! Additional vacation accrued with tenure.
- For onsite team members, onsite housing discount at Greystar-managed communities are available subject to discount and unit availability.
- 6-Week Paid Sabbatical after 10 years of service (and every 5 years thereafter).
- 401(k) with Company Match up to 6% of pay after 6 months of service.
- Paid Parental Leave and lifetime Fertility Benefit reimbursement up to $10,000 (includes adoption or surrogacy).
- Employee Assistance Program.
- Critical Illness, Accident, Hospital Indemnity, Pet Insurance and Legal Plans.
- Charitable giving program and benefits.
*Benefits offered for full-time employees. For Union and Prevailing Wage roles, compensation and benefits may vary from the listed information above due to Collective Bargaining Agreements and/or local governing authority.
