Compliance Associate

Brookfield Asset Management; New York (NY); On-site; USD 130,000 - 140,000; Full time

Job summary

A leading company in New York City is seeking a Regulatory Compliance professional to join their dynamic team. The ideal candidate will have substantial experience in asset management compliance, strong analytical skills, and the ability to work independently and collaboratively. The role involves assisting with regulatory filings, maintaining compliance reports, and ensuring adherence to policies and procedures. This position offers a competitive salary and the chance to contribute significantly to BAM’s Compliance Program.

Qualifications

• 3-5 years of asset management regulatory compliance support/paralegal experience.
• Experience with RIA compliance programs is a plus.

Responsibilities

• Assist in execution and administration of BAM’s Regulatory Compliance Program.
• Gather information for regulatory filings like Form ADV and Form PF.
• Respond to regulatory inquiries and examinations.

Skills

Attention to Detail

Analytical

Communication

Interpersonal Skills

Self-Motivated

Solutions-Oriented

Tools

Microsoft Word

Excel

PowerPoint

SharePoint

Job description

Based in New York City, this position offers an excellent opportunity in a dynamic environment for an individual with a “hands-on” approach to become an integral part of BAM’s Regulatory Compliance Group. The ideal candidate will have 3-5 years of relevant asset management regulatory compliance support / paralegal experience. Experience in assisting the execution, administration and monitoring of a Registered Investment Adviser (“RIA”) compliance program, including Code of Ethics and other policies, procedures and protocols applicable to private funds managers, is a plus. Familiarity with Microsoft Word, Excel, PowerPoint, and SharePoint is preferred.

The candidate should be well-organized, thoughtful, attentive to detail, analytical, self-motivated, and solutions-oriented. Strong communication and interpersonal skills, the ability to foster relationships, and comfort working independently and as part of a team are essential.

The position will work closely with BAM’s Compliance Officers in implementing BAM’s regulatory Compliance Program.

Primary responsibilities include:

1. Assisting in the execution, administration, and monitoring of BAM’s Regulatory Compliance Program, including:

• Gathering information for and completing regulatory filings, such as Form ADV, Form PF, 13F, and 13H filings.
• Facilitating compliance with policies, procedures, and protocols related to personal trading, political contributions, use of expert networks, electronic communications, outside activities, custody, information walls, and more.
• Maintaining compliance monitoring (and related) reports.
• Managing compliance monitoring and reporting systems, including personal trading activities, compliance certifications, securities watch list, outside activities, etc.
• Assisting with the maintenance, organization, and filing of compliance books & records.
• Responding to regulatory inquiries and examinations in cooperation with regulatory authorities.

Salary Range: $130,000 - $140,000

Our compensation includes a base salary and a short-term incentive program (cash bonus). Compensation varies based on geography, experience, education, and industry credentials, and is designed to be competitive in the market.