Head of Compliance

3 weeks ago


Reston, Virginia, United States Coda Search│Staffing Full time
Job Title: Head of Compliance

We are seeking a highly skilled and experienced Head of Compliance to lead and oversee our firm's compliance program. As a key member of our executive team, you will be responsible for ensuring that our firm adheres to all applicable laws, regulations, and industry standards.

Key Responsibilities:
  • Develop and implement a comprehensive compliance program that addresses regulatory requirements, industry best practices, and internal firm policies.
  • 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.
  • Create, revise, and enforce compliance policies, procedures, and controls, ensuring they are aligned with the firm's goals and regulatory obligations.
  • Identify, assess, and mitigate potential compliance risks. Proactively monitor for emerging regulatory risks in the real estate investment industry.
  • Develop and deliver regular training programs for staff on compliance issues, regulatory requirements, and ethical standards.
  • Conduct periodic compliance reviews, audits, and investigations to ensure adherence to internal policies and legal requirements.
  • Manage regulatory filings, including Form ADV and other required disclosures to the SEC and other regulators.
  • Ensure third-party service providers adhere to the firm's compliance standards.
  • Work closely with the Legal, Operations, and Risk teams to ensure compliance integration across all aspects of the firm's operations.
  • Keep informed about new and emerging regulations, ensuring the firm adapts to changes in the regulatory environment.
  • Regularly update the COO, General Counsel, and other senior leaders on compliance matters, including any significant risks or breaches.
Qualifications:
  • 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.
  • Bachelor's degree in finance, law, business administration, or related field. A Juris Doctor (JD) or Master's in a related discipline is preferred.
  • In-depth knowledge of U.S. federal and state securities laws, particularly as they pertain to real estate and investment management.
  • 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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