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Provide advisory Compliance support to the liquid real assets business lines
Coordinate with the Portfolio Managers, Traders, Guideline Monitoring Team and Compliance Surveillance Team to address time sensitive issues
Represent Compliance in the new product approval process which includes reviewing new products and new initiatives, identifying and assessing potential regulatory and reputational risks, developing solutions to mitigate risks
Provide advisory support on marketing and structuring of new products
Develop Compliance policies and provide annual and ad hoc training to the business
Develop Compliance policies and procedures
Participate in due diligence meetings for prospective and existing clients
Conduct an annual risk assessment of the business's controls
Support the business in developing appropriate controls and procedures to mitigate business and product specific risks
Maintain current expertise on the regulatory environment and provide advice to the business on the implementation of new regulations such as Dodd Frank, Volcker, MiFID2 and MAR. Qualifications
7+ years of compliance experience, including experience with real estate, hedge funds, infrastructure and private equity products; or within the asset management practice at a law firm
Knowledge of the Securities Acts of 1933, 1934 and 1940
Working knowledge of one or more of the major order management and execution systems
Knowledge of marketing review principles
Familiarity with regulatory reform including Dodd Frank, Volcker, MiFID2 and MAR
Experience with drafting and implementing policies and procedures
Ability to work effectively in a global environment; leveraging and sharing best practices and insights of Legal and Compliance colleagues globally
Strong strategic, problem solving and analytical skills
People skills, leadership qualities and communication skills
Motivated, diligent and excellent writing skills
Ability to work on multiple projects in a fast paced environment.