Compliance Officer – Private Equity & Investment Management
Location Santa Monica
Consultant Henry Smith
Date posted May 23, 20187 Times Square New York NY 10036 Robert Walters United States of America
Industry leading Real Estate Focussed Private Equity & Investment Management firm requires a Compliance Officer. Great company culture, growth opportunity and exposure to the business.
Industry leading Real Estate Focussed Private Equity & Investment Management firm requires a Compliance Officer to work as part of the high performance compliance function. The role will involve providing advice and guidance to the business in order to satisfy all external regulatory obligations and client contractual requirements.
A solid understanding of the regulatory environment governing Investment Management and Private Equity is required and prior experience with Real Estate Investments is a plus.
With significant changes to regulations affecting the financial services industry, the individual must be able to run workstreams critical to the firm’s overall compliance profile.
PLEASE NOTE – the role can either be based in the San Francisco or Los Angeles Office.
Duties will entail -
- To consider the implications of client contractual, legislative and regulatory requirements on the operation of the investment advisory business
- Documentation and dissemination of relevant policy and, where necessary, procedures to promote client contractual, legislative and regulatory compliance
- Point of contact for all regulatory inquiries, prepare regulatory filings when necessary and handle all regulatory audits and exams
- Assess the impact of legislative changes to the investment management sector, and ensure the business units are fully informed
- Be a point of contact for both the business as well as for external clients with respect to compliance matters
- Continuous oversight compliance training and education throughout the business.
Suitable candidates will possess -
- 3 years relevant experience in investment advisory compliance or legal positions
- Experience in private funds compliance and real estate investments is a plus
- Excellent regulatory knowledge, specifically related to Investment Advisers Act of 1940
- Excellent written and verbal communication skills
- Ability to work in a team environment and deal with stakeholders at all levels of seniority