Crow Holdings Capital

Senior Associate/Vice President, Compliance

Position Summary

Crow Holdings Capital Partners, L.L.C., seeks a qualified Senior Associate/Vice President of Compliance 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.

Primary Responsibilites

  • 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

  • 4-6 years registered investment advisor regulatory compliance experience
  • J.D. a strong plus
  • Possess enthusiasm, initiative, attention to detail and ability to work toward solutions
  • 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.

This overview is designed to introduce Crow Holdings and its various operating companies. Crow Holdings Capital is a U.S. SEC registered investment adviser and is the manager to the Crow Holdings Capital Funds. Crow Holdings Partners is a division within Crow Holdings Capital. Crow Holdings Capital, Trammell Crow Residential, Crow Holdings Industrial and Crow Holdings Office are operated separately and independently from one another with separate senior leadership and investment committees. SEC registration does not imply a certain level of skill or training.