A Commercial Real Estate firm is hiring a full-time, experienced Compliance Officer to join their team. This position will play a crucial role in managing the daily aspects of the company's compliance program.
As a key member of the Compliance Department, the Compliance Officer will collaborate with the Chief Compliance Officer to ensure the company adheres to all legal and regulatory obligations at the local, state, federal, and international levels.
The perfect candidate will have a strong background in operations and compliance, with proven experience navigating regulatory environments.
Critical thinking skills, along with strong organizational and multitasking abilities, are essential for success in this role.
Compliance Officer Responsibilities
- Stay updated on SEC regulations, industry guidelines, and relevant laws to maintain company compliance, including reviewing and implementing policies.
- Oversee third-party service management, including the collection of Code of Ethics attestations and the review of electronic communications.
- Ensure investor communications, marketing materials, and disclosures comply with securities laws.
- Collaborate with the Chief Compliance Officer on regular risk assessments, monitoring, and testing policies through examinations, audits, and mock reviews.
- Work across departments to manage regulatory filings, maintain detailed records for auditors and regulators, and prepare documentation for examinations.
- Provide ongoing compliance training and guidance, fostering a culture of compliance and establishing internal controls to prevent violations.
- Investigate compliance issues and report key findings and resolutions to senior management.
Compliance Officer Required Skills & Experience
- At least 2 years of experience in compliance, preferably in private equity, hedge funds, or corporate law.
- Bachelor's degree in a related field (Finance, Human Resources, Business, Compliance, or Operations).
- Ability to communicate complex concepts clearly.
- Strong written and verbal communication skills.
- Excellent multitasking, prioritization, and initiative in a fast-paced environment.
- Ability to work independently with minimal supervision.
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