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Compliance Associate
3 months ago
Berkshire Residential Investments is a people-first real estate investment company who values not only the impact we make as a company, but the time we spend together in our high-performing teams. We value individual skills and perspectives to allow us to best serve our employees, investors, residents, and other stakeholders.
If you're interested in a workplace where everyone feels empowered to bring their full, authentic selves to work each day, come join our talented and growing team at Berkshire Residential Investments. Our environment of entrepreneurial spirit, culture of expertise and our people-first approach will allow you to thrive while continuing to grow in your career.
Position Summary
The Compliance Associate will support the Compliance Team for Berkshire Residential Investments
Responsibilities include, but are not limited to:
- Support the administration of the firm's Code of Ethics through the automated compliance system, MyComplianceOffice (MCO)
- Administer the compliance intake process for all fund side letters, upload into ComplianceAlpha software, and coordinate with various teams to confirm compliance with specific fund provisions
- Assist with testing internal policies and procedures to confirm appropriate coverage and consistency, including assistance with managing tests, controls, and risks, and setting up activities and tasks in ComplianceAlpha software
- Perform AML/OFAC screening of investors through World Check software and manage any initial and ongoing exceptions
- Prepare, support, and submit required regulatory filings with the U.S. SEC, FinCEN, state regulators and other international regulatory authorities through collaboration with various internal teams
- Collaborate with internal stakeholders and outside counsel to register Berkshire fund entities in various foreign jurisdictions. Maintain orderly tracking documentation, legal guidance, and filings of such registrations.
- Track and maintain documentation of all fund entities and their private fund exemption status as it relates to Form ADV and Form PF regulatory filings.
- Collaborate with legal counsel and internal teams to support documentation and analysis.
- Perform other compliance administrative activities including tracking tasks, responsibilities, recurring activities, and completion through "Monday" software. Maintain orderly compliance folders documenting subject matter correspondence and all relevant documentation for the Compliance Team.
- Assist with aspects of marketing material reviews and other firm deliverables for compliance with regulatory requirements.
- Provide support related to data privacy and cybersecurity initiatives under the Compliance Team's guidance and supervision.
- Independently manage multiple compliance projects with limited supervision.
- Research regulatory obligations for review by Compliance Team members, as needed.
- Assist with regulatory examinations, audits, and inquiries, as needed.
- Consistently demonstrate use of tact and discretion.
- Experience in and working knowledge of securities laws, financial services, regulatory compliance required
- Knowledge of the real estate private funds business preferred
- Experience with legal research preferred
- Aptitude for organizing, prioritizing, and managing multiple priorities, using critical thinking and problem solving
- Demonstrated multi-modal communication style that reaches every stakeholder, specifically excellent verbal, and written communications
- Ability to communicate with and manage up to senior management
- Collaborative working style with inclusive work and thinking behaviors, commitment to excellence in teams and work product, with a strong work ethic
- Demonstrate emotional intelligence in high pressure and sensitive situations
- Tenacity, patience, and perseverance to work with business deals from beginning to end of process
- Represent the Berkshire employment brand well to candidates by seeking to understand the capabilities and insights of people with unique backgrounds, cultures, styles, and abilities
- Maintain confidentiality of sensitive information and communications of information
- Develop productive working relationships with all team members including internal clients and external third parties
- Demonstrated high level of ethics and integrity with a straightforward and honest approach
- Bachelor's Degree required
- 2-4 years' financial services experience in a legal or compliance role
- Experience with working in compliance management software systems preferred (e.g., ComplianceAlpha, MCO, or similar)
- Proficient in Microsoft Office 365 Suite (Word, Excel, PowerPoint, Teams, SharePoint, OneDrive) or similar programs
- Demonstrated ability to use and learn new technology (e.g., computers/hardware, mobile, software, cloud-based programs)
- Proficiency with computers, keyboards, monitors and telephone headsets.
Berkshire Residential offers an excellent benefits package, focusing on our employees' total health and wellness. We offer programs and incentives that promote physical, mental, financial, and behavioral wellbeing both within and beyond our workplace. Please visit our Careers page for full details - and to learn more about how we value our employees.
Berkshire Residential values diversity, equity, inclusion and belonging. Berkshire is committed to providing equal opportunity in all practices, including employees and applicants for employment. We ensure that decisions affecting employees are made without regard to their race, color, creed, national origin, age, disability, gender, gender identity, sexual orientation, or any other protected status.
