Legal & Compliance Compliance Officer

Download Job Description


The Compliance Officer will primarily be responsible for assisting the Legal and Compliance Team with implementing, administering and maintaining all aspects of the Firm’s Anti-Money Laundering (“AML”) Compliance Program as well as assisting with various legal, compliance and regulatory matters relevant to the firm.

Key Responsibilities

  • Assist in coordination and oversight of an effective AML Compliance Program that is in line with current industry best practices and regulatory guidance and requirements;
  • All aspects of client onboarding, including know your client (KYC) procedures, anti-money laundering procedures, foreign account tax compliance act (FATCA), automatic exchange of information (AEI) requirements and investor suitability;
  • Review of client investment documentation, including subscription agreements, side letters, investment management agreements and related tracking and record keeping;
  • Maintain and update investor database with key compliance information as part of onboarding process and ongoing diligence;
  • Enhancing and ongoing monitoring of AEW’s KYC and AML program to account for US SEC, UK FCA and Singapore MAS requirements;
  • Assist with the completion of required legal and regulatory reporting globally;
  • Liaise with various internal departments (investor relations, business units) and external parties (clients, law firms, third party service providers);
  • Assist in development and implementation of periodic training and education materials;
  • Assist in annual and on-going review of AML Compliance Program, policies and procedures to help identify areas of future oversight focus;
  • Interact with regulators, accounting firms, auditors and other consultants in the performance of regulatory reviews; and
  • Conducting special projects/analyses on an as-needed basis.

Skills & Competencies

  • At least 3-5 years of relevant compliance experience at an investment advisor or investment fund complex;
  • General knowledge of Investment Advisor/Investment Company Act rules and regulations and understanding of AML/OFAC legal and regulatory matters;
  • Strong communication and interpersonal skills;
  • Attention to detail and strong organizational skills;
  • Ability to communicate effectively with senior management;
  • Self-starter and highly organized individual able to work well in a deadline driven environment; and
  • Ability to work as part of a team.

AEW Capital Management is an affirmative action-equal opportunity employer.

Email Resume