Associate Vice President, Compliance

Cimgroup; Los Angeles (CA); On-site; USD 140,000 - 180,000; Full time

Job summary

CIM Group is seeking an AVP to lead and coordinate CIM's compliance program for registered and non-registered investment advisers in Los Angeles. You will drive regulatory filings, data privacy initiatives, vendor risk reviews, and AML/KYC processes while guiding cross-functional teams and assuring regulatory adherence.

The role requires deep regulatory knowledge, superior coordination, and hands-on program management to strengthen controls and deliver compliant outcomes for CIM Group.

Qualifications

• Bachelor's degree required.
• 6+ years of investment adviser compliance experience.
• Working knowledge of legal and compliance terminology and concepts.
• Understanding of the Investment Advisers Act, Investment Company Act, Securities Exchange Act, and Bank Secrecy Act.

Responsibilities

• Coordinate risk assessment and testing, document findings, and track remediation.
• Prepare, review, and submit Form ADV and Form PF filings.
• Contribute to the firm's data privacy program and incident response efforts.
• Oversee third-party risk reviews across the vendor lifecycle with stakeholders.
• Administer AML/KYC processes and ongoing monitoring.
• Develop reports and documentation to support compliance program oversight.

Education

Bachelor's degree

Job description

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:

Reporting to the Vice President, Compliance, the AVP supports and helps execute the compliance program for CIM's registered and non-registered investment advisers. This role is responsible for leading key compliance processes, coordinating cross-functional compliance initiatives, and providing practical guidance on regulatory and operational matters. The AVP partners with stakeholders across the organization to identify compliance risks, strengthen controls, and enhance the effectiveness of the firm's compliance program while ensuring adherence to applicable regulatory requirements.

Risk Assessment and Testing.

• Support the compliance testing program by coordinating information requests, conducting testing activities, evaluating controls, documenting findings, and tracking remediation efforts.
• Assist in identifying compliance risks and recommending enhancements to policies, procedures, and internal controls.

Regulatory Filings and Examinations.

• Coordinate and assist with the preparation, review, and submission of regulatory filings, including Form ADV and Form PF.
• Support regulatory examinations, audits, and information requests by gathering documentation, preparing responses, and collaborating with internal stakeholders to facilitate timely and accurate submissions.

Data Privacy

• Serve as a key contributor to the to the firm's data privacy program, including privacy training, awareness initiatives, incident response activities, regulatory compliance efforts, and implementation of firmwide privacy-related projects. Monitor evolving privacy requirements and recommend process improvements to strengthen compliance practices.

Third-Party Risk Management

• Serve as one of the subject matter experts for CIM's third-party risk management program.
• Coordinate compliance reviews of vendors throughout the lifecycle, including due diligence, risk assessments, ongoing monitoring and offboarding activities. Partner with business stakeholders to identify and mitigate vendor-related compliance risks.

AML and KYC Review

• Administer AML and KYC processes by collecting, reviewing, and analyzing information to ensure compliance with applicable laws, regulations, and internal policies.
• Identify potential issues, elevate concerns as appropriate, and support ongoing monitoring and documentation requirements.

Additional Responsibilities

• Manage day-to-day relationships with external compliance vendors and consultants.
• Support the implementation of compliance-related process improvements and technology solutions that enhance operational efficiency and regulatory oversight.
• Develop reporting, metrics, and documentation to support ongoing compliance monitoring and program management.
• Support additional compliance program initiatives and projects as assigned by Compliance leadership and the Chief Compliance Officer. Other duties as assigned.

• Bachelor's degree.
• 6+ years of investment adviser compliance experience.
• Working knowledge of legal and compliance terminology and concepts.
• Working knowledge of the Investment Advisers Act of 1940, Investment Company Act of 1940, Securities Exchange Act of 1934, and Bank Secrecy Act.

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 employees. In 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. At CIM, base pay is one part of the total compensation package. This role is eligible for bonus pay in addition to base salary. The anticipated base salary range for the position in Los Angeles is $140,000 - $180,000.

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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.

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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.