AVP, Funds Legal & Regulatory – Private Wealth

Brookfield Asset Management LLC; New York (NY); On-site; USD 120,000 - 165,000; Full time

Job summary

Qualifications

• Bachelor’s or higher-level degree required.
• 3–5 years of compliance- or audit-related experience at an investment adviser or equivalent paralegal experience in asset management.

Responsibilities

• Assist in developing, drafting, enhancing, implementing, and monitoring compliance with applicable policies involving US and international Wealth Vehicles.
• Conduct ongoing oversight of internal and third-party service providers to Wealth Vehicles.
• Assist with screening Brookfield’s network of sales intermediaries for Wealth Vehicles.
• Perform ongoing oversight of AML controls at fund service providers.
• Conduct in-house reviews to test compliance policies and procedures.
• Monitor fund trading activity against investment restrictions and regulatory requirements; prepare reports.
• Review marketing materials for regulatory compliance as needed.
• Assist with regulatory filings for Wealth Vehicles.
• Draft responses to client questionnaires and requests for proposals related to Wealth Vehicles.

Skills

Communication skills

Interpersonal skills

Time management

Detail oriented

Cross-functional collaboration

Regulatory knowledge

Education

Bachelor's degree or higher

Job description