Associate Compliance
Associate Compliance
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$ 130000 - 140000
1 Vacancy
Job Description
Location
Brookfield Place New York 250 Vesey Street 15th FloorBrookfield Culture
Brookfield has a unique and dynamic culture. We seek team members who have a longterm focus and whose values align with our Attributes of a Brookfield Leader: Entrepreneurial Collaborative and Disciplined. Brookfield is committed to the development of our people through challenging work assignments and exposure to diverse businesses.
Job Description
This position offers an excellent opportunity in a dynamic environment for an individual with a handson approach to become an integral part of BAMs Regulatory Compliance Group. The ideal candidate will have 35 years of relevant asset management regulatory compliance support / paralegal experience. Experience in assisting the administration and monitoring of a Registered Investment Adviser (RIA) compliance program including Code of Ethics and other policies procedures and protocols applicable to private funds managers is a plus. Familiarity with Microsoft Word Excel Power Point and SharePoint is preferred.
The candidate should be well organized thoughtful attentive to detail analytical selfmotivated and solutionsoriented. The candidate should also have strong communication and interpersonal skills the ability to foster relationships and be comfortable working independently and as part of a team.
The position will work closely with (and assist) BAMs Compliance Officers in implementing BAMs regulatory Compliance Program.
Primary responsibilities in assisting the administration and monitoring of BAMs Regulatory Compliance Program will include:
gathering information for and completing regulatory filings including Form ADV Form PF 13F and 13H filings and other regulatory filings.
Facilitating the implementation and monitoring of compliance with policies procedures and protocols including those in respect of personal trading political contributions use of expert consultant networks electronic communications outside activities custody information walls and other policies procedures and protocols.
maintaining compliance monitoring (and related) reports.
maintaining compliance monitoring and reporting systems including in respect of personal trading activities compliance certifications securities watch list outside activities and others.
assisting with the maintenance organization and filing of compliance books & records.
assistance in cooperation with and responding to regulatory inquiries and examinations.
Salary Range: $130000 $140000
Our compensation structure is comprised of a base salary and a shortterm incentive program (cash bonus). Cash compensation tends to vary based on geography to account for local market conditions and is set to be market competitive. Compensation decisions are based on a number of factors including
Brookfield is committed to maintaining a Positive Work Environment that is safe and respectful; our shared success depends on it. Accordingly we do not tolerate workplace discrimination violence or harassment.
We are proud to create a diverse environment and are proud to be an equal opportunity employer. We are grateful for your interest in this position however only candidates selected for prescreening will be contacted.Required Experience:
IC
Employment Type
Full-Time
