Compliance Associate
Full Time
New York, NY
$130,000 - $140,000 a year
Posted
Job description
locations
New York, New York
time type
Full time
posted on
Posted 30+ Days Ago
job requisition id
R2025786
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 Corporate Compliance Group. The ideal candidate will have 5+ years of relevant asset management regulatory compliance support / paralegal experience. Experience in assisting the execution and administration of a regulatory compliance program, including facilitation of the monitoring of compliance with policies, procedures and protocols applicable to RIAs, registered broker-dealers and private funds is a plus. Familiarity with Microsoft Word, Excel and Power Point also a plus. 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 report to BAM’s Regulatory Counsel and Chief Compliance Officer and work closely with (and assist) Compliance Officers in implementing BAM’s regulatory Compliance Program.
Responsibilities will include the following:
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Assistance in the execution and administration of BAM’s regulatory Compliance Program by:
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monitoring compliance with policies, procedures and protocols, including those in respect of personal trading, political contributions, anti-money laundering, and proprietary trading
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maintaining compliance monitoring (and related) reports, including in respect of supervised personnel, compliance calendar, and others
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maintaining compliance monitoring and reporting systems, including the personal trading and certifications system, restricted trading list, and others
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assisting with the maintenance, organization and filing of compliance books & records
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generally assisting Compliance Officers in the execution and administration of the regulatory Compliance Program
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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.
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