Associate – Compliance

Location

Chicago - 110 North Wacker Drive, Suite 2700

Business - Public Securities

Brookfield’s Public Securities Group serves institutions and individuals seeking the investment advantages of real assets through actively managed listed equity and debt strategies. The Public Securities Group leverages Brookfield’s core real asset expertise across real estate, infrastructure, real asset debt, real asset solutions and opportunistic strategies through a variety of flexible and scalable investment mandates, including separate accounts, registered funds and private funds. Clients include financial institutions, public and private pension plans, insurance companies, endowments and foundations, sovereign wealth funds and high net worth investors. The Public Securities Group has been investing in public securities for over 30 years and has over $28 billion of assets under management. For more information, visit https://publicsecurities.brookfield.com.

Brookfield Culture

Brookfield has a unique and dynamic culture.  We seek team members who have a long-term focus and whose values align with our Attributes of a Brookfield Leader:  Entrepreneurial, Collaborative and Disciplined.  Brookfield is committed to the development of our people through challenging work assignments and exposure to diverse businesses.

Job Description

Responsibilities:

• Dependably represent the Compliance department by projecting integrity, honesty, and competency while effectively communicating with Chicago stakeholders.

• Serve as experienced and reliable compliance resource for Chicago Employees.

• Effectively communicate and escalate Chicago compliance matters to senior Compliance staff as appropriate. 

• Contribute to the Compliance team’s mandate of analyzing, implementing and monitoring compliance with policies and procedures of the registered investment companies and the registered investment adviser with a primary focus on equity strategies.

• Conduct and design tests of compliance policies and procedures pursuant to Investment Adviser’s Act Rule 206(4)-7 and Investment Company Act Rule 38(a)-1, and Canadian securities regulations.

• Provide input during the development and review of compliance processes, policies and procedures in order to ensure that the firm has appropriate internal controls

• Monitor client portfolio trading activity against investment restrictions and other contractual requirements.

• Oversee third party vendor relationships including due diligence

• Participate in various Firm working groups, such as GIPs, Proxy and CSA/Soft Dollar

• Summarize and prepare testing results and other reports for various stakeholders including funds Board, audit committees, and clients

• Prepare and submit regulatory filings for corporate entities and funds

• Maintain information barriers and control the flow of information to comply with applicable securities laws, firm policies and procedures and industry best practices.

• Review marketing materials

The Candidate:

The successful candidate will possess the following:

• Demonstrated ability to effectively communicate across a dynamic and complex organization

• Ability to demonstrate efficient time management and self-discipline while operating in a  highly autonomous environment

• College degree or greater

• 5+ year’s compliance experience in the Investment Management Industry with a strong background in the Investment Advisers Act of 1940 as well as the Investment Company Act of 1940.

• Demonstrated ability to analyze regulatory and compliance program requirements

• Strong change management mindset – focus on identifying potential risk areas and improving processes to mitigate those potential risks

• Organized, thorough, and detail oriented

• Basic knowledge of ERISA and Canadian securities regulations including national instruments investment funds and conflicts of interests is a plus

• Experience with third party portfolio surveillance systems, such as EzeCompliance, is a plus

• Experience reviewing marketing materials is a plus

Salary Range: $100,000 - $115,000

Our compensation structure is comprised of a base salary and a short-term incentive program (cash bonus). Cash compensation tends to vary based on geography to account for local market conditions and is set to be market competitive. Compensation decisions are based on a number of factors including relative experience, overall years of experience, industry experience, education, and designations

Brookfield is committed to maintaining a Positive Work Environment that is safe and respectful; our shared success depends on it.  Accordingly, we do not tolerate workplace discrimination, violence or harassment.

We are proud to create a diverse environment and are proud to be an equal opportunity employer. We are grateful for your interest in this position, however, only candidates selected for pre-screening will be contacted.