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Job Type:
Temporary

Title:
Compliance Officer / Temp-to-Hire

Location:
Chicago, IL

Description:
Summary/Responsibilities:
Chicago based real estate investment firm is currently looking to add a Compliance Officer to staff.
Oversee the Public Securities compliance programs to ensure processes/procedures are integrated and aligned with business processes
Review/evaluate current programs/policies/procedures based upon changed requirements
Review marketing materials/advertising/disclosures/notices/compliance related regulatory reports/forms
Maintain a database of approved materials for use in presentations/client meetings
Prepare client-mandated compliance reports/certifications
Prepare various SEC materials/forms
Monitor REIT-ownership charter limitations
Work with departments to interpret client investment guidelines/resolve compliance issues/research client guidelines and security issues/analyze post-trade compliance results
Review client restriction guidelines and update software with information for new accounts/revisions/updates to existing accounts
Monitor procedures/practices of personnel for compliance with the contractual provisions of client contracts and other agreements
Perform periodic tests on procedures and/or transactions to monitor the effectiveness of the compliance programs
Prepare/reconcile various documents/reports including EDGAR filings/client compliance reports /client proxy voting reports

Experience:
5+ years experience required
BA in Business/Finance/Accounting
Expert in rules/regulations associated with the SEC/Securities Act of 1933/Securities Exchange Act of 1934/Investment Company and Investment Advisers Acts of 1940
Strong written and oral communication skills


Category:
Alternative Investments // Asset Management // Broker Dealer // Real Estate

Contact:
matt@bcius.com