Crow Holdings Capital
Crow Holdings Capital seeks a qualified Compliance Associate to assist with oversight of various registered investment adviser, private fund, and broker/dealer compliance matters related to real estate private equity funds and separate accounts.
The ideal candidate will be a quick learner, a team player, willing to work on varied matters, and able to demonstrate critical thinking skills, strong written and verbal communication skills, and strong interpersonal skills.
- Review and approve marketing presentations, DDQs, and investor requests; learn and implement the SEC’s new advertising rules
- Assist with monitoring progress of annual compliance testing, including working with outside compliance consultants
- Track SEC and foreign jurisdiction regulatory filing dates to ensure accurate and timely reporting
- Work with Investor Coverage to ensure proper use, reporting, and approval of marketing material and fund document recipients within Salesforce
- Prepare and deliver certain training, with particular emphasis on engaging, lively, and even witty materials
- Collaborate with Business Technology and Legal to maintain and implement vendor due diligence, privacy policies, cybersecurity related procedures, and OFAC procedures, among others
- Assist with maintaining firm’s code of ethics system (Compliance Alpha) including: review of transaction alerts and employee trading activity; track gift and entertainment reporting; and review of political contribution pre-clearance requests
- Maintain discretion with regard to highly confidential information
Desired Skills & Experience
- Possess enthusiasm, initiative, attention to detail and ability to work toward solutions
- 4-6 years registered investment advisor regulatory compliance experience
- J.D. a strong plus
- Experience with SEC and FINRA rules and regulations
- Significant experience applying SEC and FINRA marketing rules
- Strong written and verbal communication skills
- Strong organizational skills
- Experience conducting regulatory testing and working with outside consultants
- Ability to manage appropriate steps to get projects completed
- Ability to deal with and manage the natural conflict that can occur between business units and Compliance
Click here to apply.