ACC San Diego - Association of Corporate Counsel · 1 day ago
Director - Compliance
Charlotte, NC
Full-time
Onsite
Director/Executive
10+ years expAsana Partners is a retail real estate investment firm focused on creating value in vibrant neighborhoods. The Director – Compliance will lead and enhance the compliance program, advising firm leadership on compliance strategy, risk management, and regulatory matters while ensuring compliance with ongoing obligations and best practices.
Law Practice
Responsibilities
Advise senior leadership on emerging regulatory risks, enforcement trends, and compliance implications for strategic initiatives
Serve as a thought leader on compliance matters, including AI, cybersecurity and data privacy
Oversee all aspects of the compliance program including onboarding and offboarding employees into the compliance system, and address employee questions around the Code of Ethics
Maintain all records of compliance regarding pre-clearance approvals and marketing reviews
Manage compliance operations related to marketing reviews, pre-clearance approvals and recordkeeping
Coordinate with Investor Relations on global marketing compliance and licensing requirements
Track and manage compliance with fund partnership agreements and investor side letter agreements
Provide dedicated compliance support to the firm and partner with external regulatory advisers
Lead preparation and response efforts for SEC audits and other regulatory inquiries
Conduct the annual compliance review and back test different compliance policies; continually assess the compliance policies and procedures, and drive implementation of policy enhancements
Collaborate closely with the Finance & Accounting teams on regulatory reporting requirements
Leverage data analytics to identify trends, gaps and opportunities for program improvement
Qualification
Required
Deep knowledge of the Advisers Act, insider trading, anti-money laundering laws, anti-bribery and corruption rules, and conflicts of interest
Proven track record managing SEC audits and regulatory communications
Fluency with the FINRA IARD system and SEC filings including Form ADV and Form PF
Highly organized, proactive, solutions-oriented thinker, with a passion for compliance and helping a growing firm navigate evolving rules and regulations
Strong communication, interpersonal, and collaboration skills
10+ years of advanced compliance experience at a financial services firm
Expertise with the FINRA IARD system to input annual Form ADV and Form PF
Knowledge with compliance monitoring systems, such as ComplySci and technology solutions
Preferred
Experience with private equity, fund management, and/or real estate strongly preferred
Company
ACC San Diego - Association of Corporate Counsel
As the leading in-house counsel association in San Diego, ACC San Diego promotes the interests of in-house counsel across the region through the sharing of information, education, networking, and advocacy, while demonstrating innovation and leadership for the benefit of the profession.
Founded in 1992San Diego, California, US
2-10 employees
Funding
Current Stage
Early StageCompany data provided by crunchbase