AVP / VP, Compliance

About CIM Group CIM is a community-focused real estate and infrastructure owner, operator, lender, and developer. Our team of experts works together to identify and create value in real assets, benefiting the communities in which we invest.

Back in 1994, our three founders focused on projects in Southern California neighborhoods. Today, we are a diverse team of 1,000+ employees with projects across the Americas.

Our projects have delivered jobs; created comfortable places to live, work, and relax; and provided necessary and sustainable infrastructure.

Our focus on enhancing communities is unwavering, and we strive to make an even greater impact in the years to come. Join us and make an impact today! Position Purpose : Reporting to the Deputy Chief Compliance Officer (Deputy CCO), position is responsible for supporting the compliance program for CIM’s registered and non-registered advisers, as required by applicable statutory, regulatory and ethical requirements.

Essential Functions :

• 1940 Investment Company Act Compliance. Maintaining the requisite compliance framework for any CIM-managed funds that are registered under the Investment Company Act, including :
• Reviewing and administering policies and procedures required by the Act.
• Assisting with the drafting of CCO board reports.
• Monitoring compliance with any associated exceptive applications.
• Risk Assessment and Testing. Directing regular risk assessments of the activities and operations of assigned entities to establish or modify the components of the compliance program as appropriate, including :
• Promulgating and revising the risk map and risk matrix, as necessary; and
• Preparing and implementing a comprehensive compliance testing program based on the foregoing risk assessment.
• Regulatory Filings and Exams. Responsible for drafting and submitting regulatory and / or federal filings, including the Form ADVs, Form PFs, Department of Treasury Surveys and any filings associated with CIM’s foreign activities;

as well as, coordinating responses to regulatory exams and information requests.

• Lobbying Assessment. Responsible for monitoring CIM’s activities regarding lobbying and filing reports with state and local authorities, as necessary.
• RFP and DDQ Responses. Serving as the point of contact for compliance responses for RFPs, DDQs and Investor certifications.
• AML Review. Collecting and processing information in conjunction with CIM’s KYC and AML policies and procedures.
• Compliance-Related Projects. Assisting with compliance projects related to data privacy, data destruction, new funds / vehicles, etc.

Non-Essential Functions :

• Managing relationships with outside compliancevendors
• Identifying and implementing IT-based compliancesolutions
• Supporting the CIM compliance program from time to time, as requested by the CCO

Educational / Experience Requirements (including certifications, licenses, etc.) :

• Bachelor of Arts or Bachelor of Science degree
• Minimum 6 years experience in Investment Advisercompliance
• Knowledge of legal and compliance terminology andconcepts
• Knowledge of Investment Advisers Act of 1940 and Investment Company Act 1940
• Knowledge of Securities Exchange Act of 1934
• Knowledge of Bank Secrecy Act

How We Feel About Diversity and Inclusion CIM Group is committed to bringing together humans from different backgrounds and perspectives, providing employees with a safe and welcoming work environment free of discrimination and harassment.

We strive to create a diverse & inclusive environment where everyone can thrive, feel a sense of belonging, and do impactful work together.

As an equal opportunity employer, we prohibit any unlawful discrimination against a job applicant on the basis of their race, color, religion, gender, gender identity, gender expression, sexual orientation, national origin, family or parental status, disability*, age, veteran status, or any other status protected by the laws or regulations in the locations where we operate.

We respect the laws enforced by the EEOC and are dedicated to going above and beyond in fostering diversity across our workplace.

Applicants with disabilities may be entitled to reasonable accommodation under the terms of the Americans with Disabilities Act and certain state or local laws.

A reasonable accommodation is a change in the way things are normally done which will ensure an equal employment opportunity without imposing undue hardship on CIM Group.

Please inform our Talent team if you need any assistance completing any forms or to otherwise participate in the application process.

What CIM offers CIM offers an enriched benefits program as well as a wide range of resources for eligible employees to thrive both inside and outside of work.

Some of our benefits include : Medical, dental, and visionCompany-subsidized Health Savings AccountCompany-paid life & disabilityPre-tax savings accounts401(k) matchCompetitive vacation policyAdditional voluntary benefitsPaid time off for community servicePaid Parental Leave : Up to 12 weeks#LI-BL1