Associate, Compliance

Location

Brookfield Place New York - 250 Vesey Street, 15th Floor

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

Based in New York City, this position offers an excellent opportunity in a dynamic environment for an individual with a “hands-on” approach to become an integral part of BAM’s Regulatory Compliance Group. The ideal candidate will have 3-5 years of relevant asset management regulatory compliance support / paralegal experience. Experience in assisting the execution, administration and monitoring of a Registered Investment Adviser (“RIA”) compliance program, including Code of Ethics and other policies, procedures and protocols applicable to private funds managers is a plus. Familiarity with Microsoft Word, Excel, Power Point, and SharePoint is preferred.

The candidate should be well organized, thoughtful, attentive to detail, analytical, self-motivated, and solutions-oriented. The candidate should also have strong communication and interpersonal skills, the ability to foster relationships, and be comfortable working independently and as part of a team.

The position will work closely with (and assist) BAM’s Compliance Officers in implementing BAM’s regulatory Compliance Program.

Primary responsibilities in assisting the execution, administration and monitoring of BAM’s Regulatory Compliance Program will include:

• gathering information for and completing regulatory filings, including Form ADV, Form PF, 13F and 13H filings, and other regulatory filings.

• Facilitating the implementation and monitoring of compliance with policies, procedures and protocols, including those in respect of personal trading, political contributions, use of expert consultant networks, electronic communications, outside activities, custody, information walls, and other policies, procedures and protocols.

• maintaining compliance monitoring (and related) reports.

• maintaining compliance monitoring and reporting systems, including in respect of personal trading activities, compliance certifications, securities watch list, outside activities, and others.

• assisting with the maintenance, organization and filing of compliance books & records.

• assistance in cooperation with and responding to regulatory inquiries and examinations.

Salary Range: $130,000 - $140,000

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 designation.

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.