Job Description

Brookfield Asset Management is a leading global alternative asset manager with approximately $250 billion of assets under management. For over 100 years Brookfield has owned and operated real assets with a focus on real estate, infrastructure, renewable power and private equity. Clients can invest in Brookfield strategies via three main channels: public securities, private funds and listed partnerships. The Public Securities Group leverages Brookfield’s core real asset expertise via global listed strategies, including 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. The Public Securities Group has been investing in public securities for over 25 years and has over $14 billion of assets under management. Clients include financial institutions, public and private pension plans, insurance companies, endowments and foundations, sovereign wealth funds and high net worth investors.

The Assistant Vice President, Compliance is expected to be a key contributor on a collaborative team with respect to the administration of the policies and procedures for registered investment companies and advisers within the Public Securities Group of Brookfield Asset Management.

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

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