Legal & Compliance Compliance Officer

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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.

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