Chief Compliance Officer

Our client, a prominent real estate investment management firm managing over $5 billion in assets, seeks a motivated and knowledgeable chief compliance officer and counsel to join their NYC-based team.

Highlights:

Develop and implement the firm's operational compliance infrastructure.

Join a supportive, collaborative, and respectful team environment.

Gain comprehensive exposure to all aspects of compliance functions in an evolving role.

Have an influential role in shaping the future of the firm’s compliance operations.

Responsibilities:

• Establish, maintain, and centralize the firm’s compliance program operations, including policies and procedures, testing, restricted list management, brokerage statement oversight, and employee supervision.
• Assist with regulatory filings such as Form ADV, Form PF, and Lobby Registrations. Lead various compliance projects related to the development and implementation of new compliance policies and procedures.
• Review and test compliance processes and procedures, conduct employee training, and support the compliance program for the firm's fund business, including governance tasks such as preparing LP advisory committee materials and drafting minutes.
• Manage the firm’s annual review, mock exams, and regulatory inquiries.
• Ensure all marketing materials and communications, both internal and external, comply with regulatory requirements.
• Oversee side-letter compliance.
• Conduct research on emerging compliance and regulatory issues.
• Administer and maintain the firm's compliance manual, code of ethics, and other compliance processes.

Qualifications:

• At least 8 years of relevant experience within the alternative asset management industry, specifically within real estate investment management. Legal training or experience is advantageous (JD preferred).
• Excellent organizational and communication skills; highly detail-oriented with a solutions-driven mindset.
• Ability to manage multiple projects, proficiency with compliance systems, and comfort in a data-driven environment.
• A team player capable of collaborating across multiple teams at all organizational levels.