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 900 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:
The Senior Compliance Analyst will work closely with the 1st Vice President of Compliance to develop implement oversee and measure the compliance programs that focus on CIMs communications with the public. The ideal candidate will be well versed in SEC and FINRA advertising regulations be able to explain complex regulatory issues to business partners and find creative solutions to aid in successful and compliant communications with addition youll have regular opportunities to collaborate with different teams and contribute to a variety of projects across the compliance department.
RESPONSIBILITIES:
- Review of all forms of communication including but not limited to print email public appearances websites and social media.
- Facilitate communication-related filings with FINRA the SEC and various states as required.
- Facilitate compliance-related company procedures for all communications with the public.
- Support the development and delivery of compliance training to new hires and as part of the broker-dealers firm element and annual compliance program.
- Assist with audits of controls evaluation of procedural effectiveness and implementation of policy revisions in response to regulatory changes.
- Provide general compliance support related to all aspects of the broker-dealers regulatory obligations.
- Maintenance of advertising review systems and advertising books and records.
- Other duties assigned.
EDUCATION/EXPERIENCE REQUIREMENTS:
- Bachelors degree or equivalent industry and work experience.
- Series 7 and 24 FINRA licenses required.
- 5 years compliance experience in an investment products or asset management organization.
- Knowledge of and effective application of FINRA and SEC rules regarding investment product marketing.
- Familiarity with general investment adviser and broker-dealer compliance 40 Act funds private fund offerings and non-trade REITs is a plus.
- Proficient in understanding fund offering documents and legal documents.
ABOUT YOU:
- Youre a thoughtful problemsolver with a strong analytical lens and a servicefirst mindset known for turning complexity into practical riskaligned solutions. You roll up your sleeves thrive in fastmoving environments and balance regulatory rigor with realworld business needs. Organized adaptable and collaborative by nature you build trust quickly and get things done alongside partners across teams regions and perspectives.
WHAT CIM OFFERS:
At CIM we believe our success stems from our collective efforts and we are committed to providing well-rounded support and resources for our addition to a competitive compensation plan CIM offers a comprehensive benefits program for employees to thrive both inside and outside of work. Eligible employees can enjoy a wide range of benefits including:
- A variety of Medical dental and vision benefit plans
- Health Savings Account with a generous employer contribution
- Company paid life and disability insurance
- 401(k) savings plan with company match
- Comprehensive paid time off including: vacation days 10 designated holidays sick time and bereavement leave
- Up to 16 hours of volunteer time off
- Up to 16 weeks of Paid Parental Leave
- Ongoing professional development programs
- Wellness program including monthly and quarterly prizes
- And more!
Actual base salary considers several factors including but not limited to geography job-related knowledge experience and budget. The start of the salary range is typically associated with the minimum experience required.
#LI-SP1
HOW WE FEEL ABOUT DIVERSITY AND INCLUSION:
At CIM Group we believe that the unique perspectives and backgrounds of our employees enhance everything we do. We are committed to fostering an inclusive environment where diversity is not only respected but celebrated. We strive to ensure that our workplace is free from discrimination and harassment allowing everyone to contribute meaningfully and feel a sense of belonging. As an equal opportunity employer we strictly prohibit any form of unlawful discrimination and adhere to the laws enforced by the EEOC. Our goal is to provide a safe and supportive environment where all employees can grow and make impactful contributions together.
*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.
CIM does not accept unsolicited resumes from Agencies. Any unsolicited resumes received from Agencies will be considered property of CIM and no fees will be due or paid. If you wish to become an approved Agency with CIM or any of its Affiliates please contact a member of the CIM Talent Acquisition Team.
Required Experience:
Senior IC
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...
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 900 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:
The Senior Compliance Analyst will work closely with the 1st Vice President of Compliance to develop implement oversee and measure the compliance programs that focus on CIMs communications with the public. The ideal candidate will be well versed in SEC and FINRA advertising regulations be able to explain complex regulatory issues to business partners and find creative solutions to aid in successful and compliant communications with addition youll have regular opportunities to collaborate with different teams and contribute to a variety of projects across the compliance department.
RESPONSIBILITIES:
- Review of all forms of communication including but not limited to print email public appearances websites and social media.
- Facilitate communication-related filings with FINRA the SEC and various states as required.
- Facilitate compliance-related company procedures for all communications with the public.
- Support the development and delivery of compliance training to new hires and as part of the broker-dealers firm element and annual compliance program.
- Assist with audits of controls evaluation of procedural effectiveness and implementation of policy revisions in response to regulatory changes.
- Provide general compliance support related to all aspects of the broker-dealers regulatory obligations.
- Maintenance of advertising review systems and advertising books and records.
- Other duties assigned.
EDUCATION/EXPERIENCE REQUIREMENTS:
- Bachelors degree or equivalent industry and work experience.
- Series 7 and 24 FINRA licenses required.
- 5 years compliance experience in an investment products or asset management organization.
- Knowledge of and effective application of FINRA and SEC rules regarding investment product marketing.
- Familiarity with general investment adviser and broker-dealer compliance 40 Act funds private fund offerings and non-trade REITs is a plus.
- Proficient in understanding fund offering documents and legal documents.
ABOUT YOU:
- Youre a thoughtful problemsolver with a strong analytical lens and a servicefirst mindset known for turning complexity into practical riskaligned solutions. You roll up your sleeves thrive in fastmoving environments and balance regulatory rigor with realworld business needs. Organized adaptable and collaborative by nature you build trust quickly and get things done alongside partners across teams regions and perspectives.
WHAT CIM OFFERS:
At CIM we believe our success stems from our collective efforts and we are committed to providing well-rounded support and resources for our addition to a competitive compensation plan CIM offers a comprehensive benefits program for employees to thrive both inside and outside of work. Eligible employees can enjoy a wide range of benefits including:
- A variety of Medical dental and vision benefit plans
- Health Savings Account with a generous employer contribution
- Company paid life and disability insurance
- 401(k) savings plan with company match
- Comprehensive paid time off including: vacation days 10 designated holidays sick time and bereavement leave
- Up to 16 hours of volunteer time off
- Up to 16 weeks of Paid Parental Leave
- Ongoing professional development programs
- Wellness program including monthly and quarterly prizes
- And more!
Actual base salary considers several factors including but not limited to geography job-related knowledge experience and budget. The start of the salary range is typically associated with the minimum experience required.
#LI-SP1
HOW WE FEEL ABOUT DIVERSITY AND INCLUSION:
At CIM Group we believe that the unique perspectives and backgrounds of our employees enhance everything we do. We are committed to fostering an inclusive environment where diversity is not only respected but celebrated. We strive to ensure that our workplace is free from discrimination and harassment allowing everyone to contribute meaningfully and feel a sense of belonging. As an equal opportunity employer we strictly prohibit any form of unlawful discrimination and adhere to the laws enforced by the EEOC. Our goal is to provide a safe and supportive environment where all employees can grow and make impactful contributions together.
*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.
CIM does not accept unsolicited resumes from Agencies. Any unsolicited resumes received from Agencies will be considered property of CIM and no fees will be due or paid. If you wish to become an approved Agency with CIM or any of its Affiliates please contact a member of the CIM Talent Acquisition Team.
Required Experience:
Senior IC
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Job Location:
Monthly Salary:
Not Disclosed
Posted on:
9 days ago
Vacancies:
1 Vacancy
