Manager - Compliance

Asana Partners; Charlotte (NC); On-site; USD 70,000 - 110,000; Full time

Job summary

An established industry player is seeking a Manager - Compliance to lead compliance efforts within a dynamic team. This role involves overseeing compliance programs, ensuring adherence to SEC regulations, and providing guidance across departments. The ideal candidate will have extensive experience in financial services compliance, a passion for navigating evolving regulations, and strong communication skills. Join a firm committed to fostering vibrant communities while making a significant impact in the investment advisory space. This is a fantastic opportunity for those eager to grow in a supportive environment.

Qualifications

• 5-10 years of experience in financial services with compliance focus.
• Knowledge of insider trading and AML laws is essential.

Responsibilities

• Oversee compliance program and ensure adherence to regulations.
• Manage compliance activities including audits and employee onboarding.

Skills

Compliance Knowledge

Regulatory Requirements

Communication Skills

Interpersonal Skills

Problem Solving

Education

Bachelor's Degree

Advanced Training in Regulatory Compliance

Tools

FINRA IARD System

ComplySci

Job description

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Description

Asana Partners is a retail real estate investment firm creating value in vibrant neighborhoods by leveraging vertically integrated capabilities and retail expertise. With more than $7 billion of neighborhood assets under management, the firm is active in growth markets throughout the United States and is driven to make a positive impact within communities.

Our distinctive company culture is the key to our success. We recruit high-performing, ambitious individuals who are entrepreneurial and eager to maximize their potential in a team environment. We value relationship building – both internally and externally – and view it as the foundation for creating value for our neighborhoods and generating strong results for our investors. Asana Partners is known for its proven, strategic approach; our sophisticated, collaborative team; and our high-quality portfolio. With offices in Charlotte, Atlanta, Boston, Columbia, Denver, Los Angeles, and New York, we were founded to be a firm that would provide career-long opportunities for our people and a long-term partner for our investors.

For additional information, visit www.asanapartners.com or follow @asanapartners.

Duties

The Manager – Compliance position will oversee the compliance program at Asana Partners, which is a registered investment adviser with the Securities and Exchange Commission (“SEC”) and is subject to the Investment Advisers Act of 1940 (the “Advisers Act”). The Manager - Compliance will report to the General Counsel & Chief Compliance Officer and ensure that the Firm and its employees fulfill ongoing compliance obligations. This individual will partner with each department to provide practical guidance on complying with applicable financial rules and regulations, and manage the compliance program to keep pace with the evolving investment advisory business and regulatory landscape.

• Manage the day-to-day activities of the compliance program including onboarding and offboarding employees into the compliance system, and address employee questions around the Code of Ethics.
• Maintain all records of compliance regarding pre-clearance approvals and marketing reviews.
• Manage international fundraising rule requirements and correspond with third parties on maintaining any required marketing licenses.
• Track and manage compliance with fund partnership agreements and investor side letter agreements.
• Provide dedicated compliance support to the firm and partner with external regulatory advisers.
• Assist the Chief Compliance Officer to manage potential SEC audits and ensure timely response to any regulatory inquiries.
• Conduct the annual compliance review and back test various compliance policies; continually assess the compliance policies and procedures, and implement any recommended changes.
• Collaborate closely with the Finance & Accounting teams on regulatory reporting requirements.
• Monitor evolving financial rules and SEC enforcement topics such as AI, cybersecurity, and AML.

Requirements

• 5-10 years of relevant experience at a financial services firm subject to financial regulations including the Advisers Act.
• Knowledge of compliance and regulatory requirements on insider trading, anti-money laundering laws, anti-bribery and corruption rules, and conflicts of interest.
• Prior experience with SEC audits and regulatory communications.
• Fluency with the FINRA IARD system and SEC filings including Form ADV and Form PF.
• Highly organized, proactive, solutions-oriented thinker, with a passion for compliance and helping a growing firm navigate evolving rules and regulations.
• Strong communication, interpersonal, and collaboration skills.
• Expertise with the FINRA IARD system to input annual Form ADV and Form PF.
• Experience with online compliance monitoring systems, such as ComplySci.
• Experience with private equity, fund management, and/or real estate strongly preferred.

Education

Bachelor’s degree required; advanced training or certification in regulatory compliance preferred.

Travel

Limited.

Seniority level

Mid-Senior level.

Employment type

Full-time.

Job function

Legal.