Director, Investment Management Compliance & Risk

This position is responsible for providing strategic direction for the Company’s various compliance programs, making recommendations to enhance current assessment models, administering the U. S. compliance program for the Company’s Investment Management division, including registered investment adviser (RIA) and broker dealer (BD) compliance, and supporting the Compliance leadership team. Additional responsibilities include ensuring compliance with our policies and procedures and other governing standards or requirements. Employees in this role will promote ethical behavior, facilitate ethical decision-making and contribute to compliance management activities and functions in support of the Company.

JOB DESCRIPTION

• Develops, implements and ensures the administration of the compliance strategy based on compliance risk assessment results and other criteria.
• Develops, implements and maintains various compliance controls and procedures. This includes policies and procedures as required by laws and regulations applicable to the Investment Management division including, among others, RIA and BD regulatory regimes.
• Oversees projects/initiatives requiring compliance input and/or approval.
• Coordinates U.S. regulatory filings including, for example, Form ADV, Form PF and Form BD.
• Develops and provides annual and periodic training on compliance policies and procedures and emerging compliance issues and related matters.
• Proactively collaborates with other departments (including Portfolio Management, Investment, Information Technology, Client Services, and Investor Relations teams) as needed to ensure compliance issues are addressed and strengthen the compliance program through monitoring and testing of controls.
• Ensures adequate compliance documentation and retention is maintained.
• Develops and conducts risk assessments for specific business units/sub-processes.
• Works closely with business leaders to ensure internal and external communications and marketing materials related to the Investment Management division are compliant with SEC guidance.
• Analyzes and mitigates potential conflicts of interest in accordance with policies and procedures. This may include, among other things, matters related to gifts and entertainment, political contributions and outside business activities.
• Liaises with Compliance team members in Europe and Asia-Pacific with respect to compliance issues affecting the global Investment Management division, including AIFMD and RIA implications.
• Establishes systems for auditing, tracking, and reporting the Company’s compliance with applicable legal and regulatory requirements.
• Stays abreast of emerging compliance requirements and issues and access external experts and resources as needed.
• Assists in developing and promoting a compliance function that effectively manages and mitigates risk, establishes proper controls, supports capital raising and other business transactions and protects the Company from legal and regulatory risk.
• Leverages technology solutions for routine matters in order to promote efficiency.
• Participates in events (community, diversity, etc.) on behalf of the organization and provide appropriate representation.

Knowledge, Skills, Abilities:

• 7 or more years of relevant compliance experience. Law firm or other legal training a plus.
• Demonstrated knowledge of the U.S. Securities Act of 1933, Investment Advisors Act of 1940 and Investment Company Act of 1940 and broad knowledge of other federal and state securities laws and regulations applicable to private equity funds and investment advisers. Real estate private equity experience a plus.
• Experience with the Company’s current and proposed regulatory regimes, including SEC, FINRA, AIFMD, CFTC and ERISA.
• Understanding of and experience overseeing compliance with the Foreign Corrupt Practices Act and anti-money laundering laws preferred.
• Excellent leadership skills, interpersonal skills and initiative are imperative for this position. Must be approachable and able to relate to others. Must have strong professional verbal and written communication skills and be able to respond effectively to sensitive inquiries or complaints. Ability to maintain confidentiality required.
• Highly organized and detail oriented with strong time management, project management, research, communication and analytical skills.
• Ability to manage multiple priorities, make quick and effective decisions, set and meet goals and consistently meet deadlines. Ability to be flexible and quickly adapt to changing business needs and processes.
• Proficiency with compliance technology tools and applications. Advanced working knowledge of Microsoft Office applications and general office equipment.
• Minimum of a Bachelor’s degree (B.A.) from four-year college or university. Advanced degrees in law or business preferred.

Depending on the position offered, regular full-time and part-time team members may be eligible to participate in a bonus program in addition to their base salary. Once eligible, team members may participate in the 401k plan. Regular, full-time team members are also offered a range of medical, financial, and/or other benefits from which to choose.

Greystar will consider for employment qualified applicants with arrest and conviction records.