RIA Compliance Leader — Regulatory Oversight & Examinations

Welltower, Inc; New York (NY); On-site; USD 295,000 - 415,000; Full time

Benefits offered by this job

Base Salary & Bonus

PTO & Holidays

Stock Purchase Program

401(k) & Profit Sharing

Student Debt Assistance

Tuition Assistance

Medical/Dental/Vision

Job summary

Welltower, Inc. in New York City seeks an experienced RIA Compliance Officer to lead the administration of the compliance program for the registered investment adviser that advises private funds in the seniors housing sector.

You will report to senior management, manage regulatory filings, train staff, and liaise with regulatory authorities as the RIA’s primary contact. Eligible for competitive base salary, annual bonus, and comprehensive benefits.

Qualifications

• Minimum of 5 years of significant compliance experience with an SEC registered investment adviser, private funds manager, regulator or law firm advising registered investment advisers.

Responsibilities

• Oversee the administration of the RIA’s compliance program and related policies and procedures.
• Report regularly to senior management, fund governing bodies, and advisory committees regarding the compliance program, material compliance matters, and regulatory developments of the RIA.
• Oversee the preparation and timely filings of Form ADV, Form PF, and all other regulatory filings related to the RIA.
• Conduct regular trainings for covered persons subject to the RIA’s compliance program.
• Liaise with internal stakeholders at Welltower regarding the RIA.
• Serve as the RIA’s primary liaison for regulatory examinations and regulatory inquiries.

Skills

Regulatory Compliance

Independent Judgment

Regulatory Liaison

Job description

Welltower, Inc. in New York City seeks an experienced RIA Compliance Officer to lead the administration of the compliance program for the registered investment adviser that advises private funds in the seniors housing sector.

You will report to senior management, manage regulatory filings, train staff, and liaise with regulatory authorities as the RIA’s primary contact. Eligible for competitive base salary, annual bonus, and comprehensive benefits.