Senior Associate, Compliance
About the position Heitman is currently looking for a Senior Associate to join our Compliance team that will provide support across private equity, private debt , and public securities solutions. This individual will collaborate with senior leaders across business units and internal investment teams to assist with all matters of regulation and compliance at the firm. The role will include compliance monitoring and testing, preparation of regulatory filings, corporate governance, and compliance training, among other tasks. The ideal candidate will be highly organized, and detail oriented in order to stay updated on compliance related tasks in the ever-changing real estate investing environment.
Responsibilities
- Promote and protect Heitman’s reputation for ethics, integrity and honesty
- Hold Code of Ethics orientation meetings for new employees, manage employee certifications, pre-clear personal trade requests, monitor and test employee trading and manage COE logs
- Maintain corporate governance for investment and corporate entities, including drafting consents and resolutions
- Prepare client-mandated compliance reports/certifications
- Prepare and submit regulatory filings, including Form ADV, Form PF, Form 13F, Form N-PX, TIC SLT, and others
- Maintain compliance calendar and review/address regulatory changes as directed
- Review processes for compliance with contractual provisions of client contracts
- Perform periodic tests of procedures and/or transactions to monitor the effectiveness of the compliance programs
- Prepare and conduct training programs
- Liaise with various groups within the firm and external service providers as needed
- Assists with updates and revisions to the firm’s policies and procedures
Requirements
- 2-4 years of compliance related experience within private equity, public equities, investment management, or financial institutions.
- Possess high attention to detail with an ability to effectively manage multiple deadlines.
- Highly motivated, intelligent, hardworking, team player with proven excellence in prior endeavors.
- Understanding of the investment management business and key processes typical to the industry including back-office processes or fund operations.
- Demonstrates substantive knowledge of the rules and regulations associated with the Securities Exchange Commission (SEC), the Securities Act Of 1933, the Securities Exchange Act of 1934, and the Investment Company and Investment Advisers Acts of 1940
- Strong written and oral communication skills
- Intermediate Microsoft Word, PowerPoint, and Excel skills
- Positive attitude and ability to build relationships across the business
Nice-to-haves
- Experience with Form PF, Form N-PX, SEC Rule 13 F and 13G analyses, or TIC SLT reporting a plus
Benefits
- At Heitman, we believe that our success is driven by the success of our team members . That's why we use market data to ensure competitive compensation for every role, reflecting our commitment to investing in our team. When we grow, you grow !
- In addition , all of our team members are bonus eligible and participate in a generous annual bonus plan , with the percentage varying based on your role and level, ensuring that your contributions are recognized and rewarded.
- In alignment with our P eople F irst core value , we offer rewarding careers that focus on both personal and professional growth. We are dedicated to helping you and your family thrive, both in the office and at home. To support this, we provide competitive compensation and a leading-edge, human-centric benefits package.
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