Compliance Director
2 hours ago
We are seeking a seasoned Compliance Director to lead our compliance program and ensure adherence to all applicable laws, regulations, and industry standards. Our partner firm is a high-growth real estate investment company with a strong employee-centric culture, offering a hybrid work environment and opportunities for professional growth.
The ideal candidate will have 5-10 years of experience in compliance, preferably in real estate investment management or related financial services. Strong knowledge of SEC regulations, particularly the Investment Advisers Act of 1940 and the Investment Company Act of 1940, is essential. A Juris Doctor (JD) or Master's in a related field is preferred.
Key Responsibilities:- Develop and implement a comprehensive compliance program that addresses regulatory requirements, industry best practices, and internal firm policies.
- Ensure compliance with SEC regulations, 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 senior management on compliance matters, including any significant risks or breaches.
- 5-10 years of experience in a compliance role, preferably in real estate investment management or related financial services.
- Strong knowledge of U.S. federal and state securities laws, particularly as they pertain to real estate and investment management.
- Excellent leadership and project management skills.
- Ability to develop and implement compliance frameworks.
- High attention to detail and ability to handle sensitive issues confidentially.
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