Department

AVP, Compliance

Compliance
Posted: 09/13/2021
Full Time
Los Angeles, CA
Position Purpose:
Reporting to the Deputy Chief Compliance Officer (Deputy CCO), position is responsible for fulfilling the day-to-day responsibilities of the compliance program for CIM’s registered and non-registered advisers, as required by applicable statutory, regulatory and ethical requirements. 
Essential Functions:
  • Compliance Policies. Monitoring, promulgating and administering compliance policies, including 1) Updating and enhancing existing policies, from time to time as may be appropriate; and 2) Providing employees with advice on interpreting the policies
  • Code of Ethics and Code of Conduct. Overseeing certain day to day activities, including: 1) Managing related disclosures and preapproval requests; and 2) Investigating violations and making enforcement recommendations to the CCO
  • Training, Communications and Enforcement. Implementing and conducting an effective compliance training, communications and enforcement program, including: 1) Providing certain compliance related training for all levels of employees appropriate to their respective roles and responsibilities; 2) Providing training for agents and service providers, as necessary; 3) Disseminating communications as appropriate to convey and reinforce applicable laws and regulations, ethical standards, and compliance policies to establish a “culture of compliance”; and 4) Undertaking monitoring activities designed to prevent and detect misconduct involving violations of the Compliance Program
  • RFP and DDQ Responses. Serving as the point of contact for compliance responses for RFPs, DDQs and Investor certifications
  • AML Review. Collecting and processing information in conjunction with CIM’s KYC and AML policies and procedures
  • Supervisory Responsibilities:
  • Managing relationships with outside compliance vendors including but not limited to supporting the vetting of vendors
  • Supervising assigned compliance personnel.
  • Educational/Experience Requirements:
  • Bachelor of Arts or Bachelor of Science degree
  • Minimum 6 years’ experience in Investment Adviser compliance
  • Knowledge of legal and compliance terminology and concepts
  • Knowledge of Investment Advisers Act of 1940 and Investment Company Act 1940
  • Knowledge of Securities Exchange Act of 1934
  • Knowledge of Bank Secrecy Act
  • CIM does not accept unsolicited resumes from Agencies.  Any unsolicited resumes received from Agencies will be considered property of CIM and no fees will be due or paid.  If you wish to become an approved Agency with CIM or any of its Affiliates, please contact a member of the CIM Talent Acquisition Team.