Operations & Compliance Specialist

3 weeks ago

Newport Beach, United States CWS Apartment Homes Full time

CWS Purpose: "Enhancing Lives the CWS Way"

CWS Values:

Honoring Our Word

Do what you say you will do.

* Employ thoughtful and careful consideration when making a commitment.


* Take ownership of your commitment.


* Follow through on promises consistently.



Ethical Dealings are Paramount

Do the right thing all the time, every time.

* Be open and honest in all situations, especially when it's difficult to be so.


* Respect confidentiality and protect privacy.


* Put other employees, residents, and investors before yourself.


* Charge fair and appropriate fees to our investors.



A Respect for People

Treat others the way you want to be treated.

* Use honest, thoughtful, and specific communication.


* Be responsible for how you are heard.


* Be transparent and inclusive.


* Share information timely and consistently.


* Have empathy - search for the truth and be intentionally slow to understand.



Requirement for Profitability and Sustainability

Bring value to our employees, residents and investors in a company designed for the long term.

* Promote mindful spending.


* Be efficient.


* Be forward thinking.


* Grow with courage.


* Be team oriented.



A Demand for Excellence with a Sense of Urgency

Be intentional. Be accurate. Be timely. CARE.

* Go above and beyond.


* Get after it.


* Hold yourself and each other accountable.


* Inspect what you expect.


* Communicate what matters most.


* Delight the customer.


* CWS Values: You will embrace our core values and set an example to the team by demonstrating these values on a daily basis.


* Make safety a top priority Ensure that the health, well-being, and safety of our team members, residents, contractors, and yourself is foremost in mind in conducting any and all business activities.



Operations & Compliance Specialist

CWS Capital Partners is currently searching for an Operations & Compliance Specialist for our private real estate investment firm.

The Operations & Compliance Specialist will be an integral part of the broker dealer and registered investment advisor operations and compliance departments. To be successful in our investor relations group, the Specialist must enjoy assisting investors and possess the following attributes: detail oriented, punctual, organized, and quick to grasp and apply new skills.

The Operations & Compliance Specialist will be a critical team player in the compliance and investor relations initiatives of the firm and provide support to the COO / CCO. The role will generally be responsible for supervising the firm's daily activities and requires intermediate to advanced skill with Microsoft Word and Excel.

Responsibilities include, but are not limited to:

* Processing licensing and related filings through the FINRA CRD / IARD system
* Trade review and approval
* New account review and approval
* Money movement review and approval
* Email surveillance
* Administering Firm and Regulatory continuing education requirements
* Processing FinCEN requests
* Annual mailings
* FINOP responsibilities
* Assisting with the on-boarding of third party investment advisors and broker dealers
* Projects as assigned by the COO / CCO

Qualifications:

* College graduate preferred
* 2-3 years of experience with a Broker Dealer or Registered Investment Adviser a plus
* Series 7, 63, 65, or 66 preferred, with the ability to obtain the Series 24 license within 3 months of hire. This position will also eventually require the Series 27 license.

CWS Capital Partners is a fully integrated real estate investment management company that specializes in the acquisition, development, reposition, and management of luxury apartment buildings. We seek investment opportunities with the primary objective of strong growth potential while maintaining preservation of capital. Once we find properties that fit our investment model, we negotiate hard for its purchase price and subsequent sale as well as secure both the debt and equity capital for funding. Equity funding is provided by high net worth individuals and institutional investors through our captive broker dealer. As a registered investment adviser, CWS provides investment advice to private real estate funds. We manage our properties with our affiliated property management company, CWS Apartment Homes, because we believe that property management from within the investment company keeps our investors' best interests at the forefront of our operations. Communication is the key to our success. With respect to each project, we correspond regularly with our investment partners and coordinate all the necessary financial reporting and tax return generation. In this industry especially, reporting is extremely important in communicating the condition and health of the investment with our investment partners.

Our corporate Values: Honoring Our Word, Ethical Dealings Are Paramount, A Respect For People, Requirement For Profitability and Sustainability, A Demand For Excellence With A Sense Of Urgency

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