Chief Compliance Officer

Location

Chicago - 110 North Wacker Drive, Suite 2700

Business - Public Securities

Brookfield’s Public Securities Group serves institutions and individuals seeking the investment advantages of real assets through actively managed listed equity and debt strategies. The Public Securities Group leverages Brookfield’s core real asset expertise across 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. Clients include financial institutions, public and private pension plans, insurance companies, endowments and foundations, sovereign wealth funds and high net worth investors. The Public Securities Group has been investing in public securities for over 30 years and has over $28 billion of assets under management. For more information, visit

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

The Position:

The Chief Compliance Officer is responsible for the design, development, implementation and enforcement of the compliance policies and procedures for the Public Securities Group.

Job Duties:

• Serve as the primary Compliance Team resource for PSG, the PSG business and employees, and be responsible for the PSG Compliance control structure. Develop and foster a compliance culture within the organization.
• Continually review, enhance and structure the Compliance control structure to ensure compliance with applicable regulatory requirements.
• Manage and oversee other PSG Compliance Team members and take an active role in their professional and personal development.
• Effectively identify, communicate and escalate compliance matters to other senior Brookfield and PSG Compliance and Legal staff.
• Monitor for and analyze proposed and current regulatory requirements and interpretations that impact or may impact PSG’s business and operations. Interact with and provide advice to business leaders on changing laws and regulations.
• Adapt the compliance program as needed for new businesses and new products.
• Draft, enhance, implement and monitor PSG compliance policies and procedures.
• Conduct, design and enhance tests of PSG compliance policies and procedures pursuant to applicable regulatory requirements. Identify opportunities for technology-based solutions.
• Review all types of marketing, advertising and client service-related materials for compliance with IAA, FINRA and other regulatory requirements, and oversee PSG review processes and controls.
• Design, assess, enhance and monitor PSG internal controls.
• Monitor portfolio trading and investment activity against investment guidelines, restrictions, disclosures, and regulatory requirements.
• Oversee third party vendor relationships involving PSG and perform due diligence and risk assessments.
• Participate in various PSG working groups, such as Trade Management and CSA/Soft Dollar.
• Develop and update training materials on regulatory and compliance related matters and requirements and provide training to employees.

• Prepare and submit regulatory filings and reports for PSG, including Form ADV.
• Ensure all regulatory examinations and inquiries are handled professionally and consistently.

Qualifications & Requirements:

• Bachelor’s degree, or foreign equivalent, in Economics, Finance, or related field.
• Minimum of 10 years compliance experience with at least 5 years’ experience working within an investment management firm.
• Supervisory experience.
• Substantial experience working in hedge fund/private fund or asset management industries required: Experience working with multi-strategy hedge funds is preferred.
• Experience working at the SEC, CFTC/NFA, FINRA or other comparable asset management focused regulatory entity is preferred.
• Working knowledge of the Investment Advisers Act of 1940, the Investment Company Act of 1940 (ICA), IAA, the Securities Act of 1933, the Securities Exchange Act of 1934 and related regulatory requirements
• Knowledge and application of SEC, FINRA and CFTC/NFA rules and regulations, and other US and non-US regulatory requirements.
• Demonstrated ability to provide regulatory compliance advice, monitoring and testing services as an independent, subject matter expert.
• Demonstrated ability to analyze and manage regulatory and compliance program requirements globally.
• Strong change management ability – focus on identifying potential risk areas, and establishing and enhancing processes and controls to mitigate those potential risks.
• Experience with third party portfolio surveillance systems, such as Eze Compliance and other regulatory compliance systems.
• Adept at use of technology and focus on identification and implementation of compliance-based technology solutions.
• Experience reviewing and overseeing marketing, advertising and client service related materials for compliance with GIPS, ICA, IAA, FINRA and other regulatory requirements.
• Strong client orientation with excellent interpersonal and communication skills, and ability to give practical real-time advice and guidance to investment teams.
• Desire to work in a team‐based entrepreneurial environment with an ability to collaborate and build relationships with individuals at all levels of the organization.
• Organized, thorough and detail-oriented.
• Solid written and verbal communication.
• Resourceful, commercial and proactive when issues arise.
• Able to establish priorities, work on multiple assignments, meet competing deadlines and work in a fast-paced environment.

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. #J-18808-Ljbffr