Compliance AVP - Investment Management
Consultant Henry Smith
Date posted December 9, 20187 Times Square New York NY 10036 Robert Walters United States of America
Industry leading Real Estate focused Investment Management firm requires a Compliance AVP to work as part of the highly regarded compliance function. Prestigious Firm, great culture, huge career progression opportunities.
Industry leading Real Estate focused Investment Management firm requires a Compliance AVP to work as part of the highly regarded 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 ideally Commercial and Retail lending is preferred and prior experience working in a compliance or legal function is a necessity.
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.
Duties will entail -
- To consider the implications of client contractual, legislative and regulatory requirements on the operations of the Investment Management business
- Documentation and dissemination of relevant policy and, where necessary, procedures to promote client contractual, legislative and regulatory compliance
- Management of regulatory compliance reporting and oversight
- 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
- Continuous oversight compliance training and education throughout the business.
Suitable candidates will possess -
- 3 years relevant experience in investment management compliance or legal positions, ideally with a focus on real estate investment
- JD is strongly preferred
- Excellent regulatory knowledge, specifically related to Investment Advisers Act of 1940, as well as consumer lending regulations
- Excellent written and verbal communication skills
- Ability to work in a team environment and deal with stakeholders at all levels of seniority