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Senior Director, Investment Compliance & Risk (Americas)
Job Responsibilities:
- Develops and maintains policies and procedures as required by laws and regulations applicable to the Investment Management division, including RIA and BD regulatory regimes.
- Acts as regulatory liaison with the SEC, FINRA and other applicable regulatory bodies, managing regulatory audits and exams.
- 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.
- 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.
- Develops and provides annual and periodic training on compliance policies and procedures and emerging compliance issues.
- Establishes systems for auditing, tracking and reporting the Company’s compliance with applicable legal and regulatory requirements.
- Executes on thoughtful, logical & consistent approaches to compliance issues and/or concerns to minimize the Company’s exposure and provide clear guidance to the business.
- Proactively collaborates with other departments (including Investment, Portfolio Management, Information Technology, Client Services, Investor Relations and Employee Equity teams) as needed to ensure compliance issues are addressed.
- Stays abreast of emerging compliance requirements and issues and accesses external experts and resources as needed.
- 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.
- Leverages technology solutions for routine matters in order to promote efficiency.
- Supervises team members by interviewing, hiring, training, developing and managing the performance of team members in accordance with the Company’s policies, values and business practices.
Knowledge, Skills, Abilities:
5 or more years in relevant compliance experience. Law firm or other legal training a plus.
FINRA Series 7 and Series 24 licenses strongly preferred.
Demonstrated knowledge of the U.S. Securities Act of 1933, Investment Advisers 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.
Experience with the Company’s current and proposed regulatory regime, including SEC, FINRA, AIFMD, CFTC and ERISA.
Experience with a real estate investment manager and/or vertically integrated investment manager preferred.
Excellent analytical, communication and writing skills.
Proficiency with compliance technology tools and applications.
Ability to manage multiple priorities, including strong organizational and project management skills.
Demonstrated ability to manage a team.
Minimum of a bachelor’s degree (B.A.) from a four-year college or university. Advanced degrees in law or business preferred.
JOB DESCRIPTION
Develops, implements and administers the compliance program for the Company’s Investment Management division in the Americas, including registered investment adviser (RIA) and broker dealer (BD) compliance.
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.
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Company Updates
THE GREYSTAR STORY
In 1993, when Founder, Chairman, and CEO Bob Faith set out to build Greystar, he envisioned the need for a rental housing industry leader — a blue-chip company that operated with the highest integrity and character in delivering world-class services to residents, property owners, and investors.
With a winning strategy and a focus on people, Greystar continues to meet that need, guided by the Mission of enriching the lives we touch by doing things the right way.
Over the years, Greystar has learned what’s important to people when it comes to a place to call home. That’s why we continually strive to provide beautiful living environments and innovative services that enhance the living experience. We take pride in knowing that our homes are inviting places for residents to celebrate life’s important moments.
WHAT SETS US APART
At Greystar, we care about our residents, clients, and partners – and it shows. Our focus on people, genuine relationships, and shared values has created a unique and defining company culture.
Our team members are key to that culture, so we also strive to hire the best people in the business. “Our Core Values and our people are at the heart of everything we do,” says Bob. “Though times and technology may change, it’s our people who have made Greystar the global leader in rental housing.”
Diversity, Equality & Inclusion
At Greystar, we’re committed to doing the right thing. Our Core Values foster an environment of diversity, equality, inclusion, and belonging, and create the framework that guides everything we do. Our company-wide Diversity, Equality & Inclusion effort isn’t something that’s led by a person or division – it is an effort that is driven by the entire business and guided by our team members.