AVP, Funds Legal & Regulatory — Wealth Compliance

Brookfield Asset Management Inc.; New York (NY); Hybrid; USD 120,000 - 165,000; Full time

Job summary

Brookfield Asset Management is seeking an Assistant Vice President to support its Funds Legal and Regulatory Team in New York. The role focuses on regulatory matters for wealth vehicles and coordinating with registered investment advisers and Brookfield business units across the organization.

You translate regulatory requirements into practical controls, oversee fund operations and filings, and collaborate with legal, compliance, operations, finance, distribution and client services to drive

Qualifications

• Bachelor’s or higher-level degree.
• 3–5 years of compliance- or audit-related experience at an investment adviser, or equivalent paralegal experience in asset management.
• Experience in asset management, capital markets, private equity, securities or financial services is preferred.
• Working knowledge of the Investment Company Act of 1940, the Investment Advisers Act of 1940, the Securities Act of 1933, and the Securities Exchange Act of 1934 is a plus.
• Background in AML Compliance is beneficial.

Responsibilities

• Assist in developing, drafting, enhancing, implementing, and monitoring compliance with applicable policies and procedures for US and internationally domiciled Wealth Vehicles.
• Oversee internal and third-party service providers to US and international Wealth Vehicles.
• Screen Brookfield’s network of sales intermediaries for its Wealth Vehicles.
• Oversee AML controls at fund service providers related to Wealth Vehicles.
• Conduct in-house reviews to test compliance policies and procedures.
• Monitor fund trading activity against restrictions and report findings.
• Review marketing materials for regulatory compliance as needed.
• Assist with regulatory filings for Wealth Vehicles.

Skills

Regulatory compliance

Interpersonal skills

Communication skills

Time management

Detail oriented

Cross-functional collaboration

Judgment & follow-through

Education

Bachelor’s degree or higher

Job description

Brookfield Asset Management is seeking an Assistant Vice President to support its Funds Legal and Regulatory Team in New York. The role focuses on regulatory matters for wealth vehicles and coordinating with registered investment advisers and Brookfield business units across the organization.

You translate regulatory requirements into practical controls, oversee fund operations and filings, and collaborate with legal, compliance, operations, finance, distribution and client services to drive