Head of Compliance

3 days ago

Hoboken, United States Coda Search│Staffing Full time

We are currently partnered with a high-growth real estate investment firm look for a highly skilled and experienced Head of Compliance to lead and oversee the firm’s compliance program. This firms is performing incredibly well as they focus on ecommerce and last mile real estate investments. They have a strong employee centric culture offering a hybrid work environments great professional flexibility, and commitment to developing and promoting internal talent.


This senior role is crucial to ensuring that the firm adheres to all applicable laws, regulations, and industry standards, specifically focusing on compliance with the SEC Investment Advisers Act of 1940, the Investment Company Act of 1940, and other regulatory frameworks. The Head of Compliance will be responsible for designing and implementing compliance policies, procedures, and controls to mitigate risk and ensure ethical and legal standards are met. It's a high exposure role reporting into the COO and General Counsel, and working closely with the whole executive team and business leads.


Key Responsibilities:

Compliance Strategy and Oversight:

  • Develop and implement a comprehensive compliance program that addresses regulatory requirements, industry best practices, and internal firm policies.

Regulatory Compliance (SEC Focus):

  • Ensure the firm complies with the SEC Investment Advisers Act of 1940, the Investment Company Act of 1940, and other applicable laws, including regular updates to policies based on regulatory changes.

Policy Development and Implementation:

  • Create, revise, and enforce compliance policies, procedures, and controls, ensuring they are aligned with the firm's goals and regulatory obligations.

Risk Management:

  • Identify, assess, and mitigate potential compliance risks. Proactively monitor for emerging regulatory risks in the real estate investment industry.

Training and Awareness:

  • Develop and deliver regular training programs for staff on compliance issues, regulatory requirements, and ethical standards.

Internal Audits and Investigations:

  • Conduct periodic compliance reviews, audits, and investigations to ensure adherence to internal policies and legal requirements.

Regulatory Reporting:

  • Manage regulatory filings, including Form ADV and other required disclosures to the SEC and other regulators.

Vendor and Third-Party Compliance:

  • Ensure third-party service providers adhere to the firm’s compliance standards.

Collaboration with Legal and Other Departments:

  • Work closely with the Legal, Operations, and Risk teams to ensure compliance integration across all aspects of the firm’s operations.

Monitoring Regulatory Developments:

  • Keep informed about new and emerging regulations, ensuring the firm adapts to changes in the regulatory environment.

Reporting to Senior Management:

  • Regularly update the COO, General Counsel, and other senior leaders on compliance matters, including any significant risks or breaches.


Qualifications:

Experience:

  • 5-10 years of experience in a compliance role, preferably within real estate investment management or related financial services. Strong familiarity with SEC regulations, particularly the Investment Advisers Act of 1940 and the Investment Company Act of 1940.


Education:

  • Bachelor’s degree in finance, law, business administration, or related field. A Juris Doctor (JD) or Master’s in a related discipline is preferred.


Knowledge:

  • In-depth knowledge of U.S. federal and state securities laws, particularly as they pertain to real estate and investment management.


Skills:

  • Strong leadership and project management skills.
  • Ability to develop and implement compliance frameworks.
  • Excellent written and verbal communication skills.
  • High attention to detail and ability to handle sensitive issues confidentially.

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