Quality Compliance Associate

R&D Partners; Nova Iguaçu; Presencial; USD 135.000 - 185.000; Tempo integral

Resumo da oferta

An established industry player is seeking a Compliance Officer to enhance its compliance program. This role involves supporting compliance for registered and non-registered advisers, ensuring adherence to statutory and regulatory requirements. You'll conduct risk assessments, manage regulatory filings, and assist with compliance projects. This is a fantastic opportunity to make a significant impact in a community-focused organization that values diversity and inclusion. Join a dynamic team committed to creating sustainable value in real assets and enhancing community well-being.

Serviços

Medical insurance

Dental insurance

Vision insurance

401(k) match

Paid time off

Community service leave

Paid parental leave

Qualificações

• 6+ years experience in Investment Adviser compliance is required.
• Strong knowledge of legal and compliance concepts is essential.

Responsabilidades

• Maintain compliance framework for CIM-managed funds under the Investment Company Act.
• Draft regulatory filings and coordinate responses to regulatory exams.

Conhecimentos

Investment Adviser compliance

Legal and compliance terminology

Investment Advisers Act of 1940

Investment Company Act of 1940

Securities Exchange Act of 1934

Bank Secrecy Act

Formação académica

Bachelor of Arts or Bachelor of Science

Descrição da oferta de emprego

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), this 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 :

1. 1940 Investment Company Act Compliance : Maintaining the requisite compliance framework for any CIM-managed funds that are registered under the Investment Company Act, including :
2. Reviewing and administering policies and procedures required by the Act.
3. Assisting with the drafting of CCO board reports.
4. 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 :

1. Promulgating and revising the risk map and risk matrix, as necessary; and
2. 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 compliance vendors
• Identifying and implementing IT-based compliance solutions
• Supporting the CIM compliance program from time to time, as requested by the CCO

Minimum Qualifications :

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

CIM Group is committed to diversity and inclusion, providing a safe and welcoming work environment free of discrimination and harassment. We prohibit unlawful discrimination based on race, color, religion, gender, gender identity, sexual orientation, national origin, disability, age, veteran status, or any other protected status. We support reasonable accommodations for applicants with disabilities and encourage diverse candidates to apply. CIM offers an enriched benefits program including medical, dental, vision, HSA, life & disability insurance, pre-tax savings, 401(k) match, paid time off, community service leave, and paid parental leave. The salary range in Los Angeles, CA, is $135,000 - $185,000 (AVP) and $205,000 - $285,000 (VP), with bonus potential. This role is eligible for additional compensation in the form of bonuses.