Senior Associate, Compliance

• 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

• 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

Experience with Form PF, Form N-PX, SEC Rule 13 F and 13G analyses, or TIC SLT reporting a plus

• Competitive compensation
• Annual bonus plan
• Human-centric benefits package