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Senior Associate, Compliance

Chicago, Illinois

Description

Company Description

Founded in 1966, Heitman LLC is a global real estate investment management firm with over $44 billion in assets under management. Heitman’s real estate investment strategies include direct investments in the equity or debt capitalization of a property or in the securities of listed and publicly traded real estate companies. Heitman serves a global client base with clients from North American, European, Middle Eastern and Asia-Pacific institutions, pension plans, foundations and corporations and individual investors. Headquartered in Chicago, with additional offices in North America, Europe, and Asia-Pacific, Heitman’s more than 325 employees offer specialized expertise – from a specific discipline to local insight.

This Opportunity

Heitman is currently looking for a Senior Associate, Compliance who will focus on private equity, private debt and public securities solutions. This individual will report to the Head of Compliance and will work closely with senior leaders in the firm’s business units and coordinate with other internal support teams.

They will assist with all matters of regulation and compliance at the firm. The role will include compliance monitoring, preparation of regulatory filings, support of marketing activities, compliance training, and testing, among other tasks.

The responsibilities of a Senior Associate, Compliance include, but are not limited to:

  • Promote and protect Heitman’s reputation for ethics, integrity and honesty
  • Manage Code of Ethics orientation for new employees, manage employee certifications, pre-clearance requests, the monitoring and testing of employee trading and managing COE logs
  • Manage compliance testing for private real estate business
  • Manage compliance testing for public real estate business including valuations, fees, proxy voting, and ISS review, among other items
  • Manage the Liquidity Risk Management Program for Heitman’s Mutual Fund, including maintaining reports, performing due diligence on third parties, reviewing fund activity at intermediaries, etc.
  • Prepare client-mandated compliance reports/certifications and various SEC materials
  • Assist with regulatory filings, including Form ADV, Form PF, Broker Dealer forms and others
  • Review standard marketing materials for compliance
  • Maintain compliance calendar and review/address regulatory changes as needed
  • Monitor the procedures and practices of personnel for compliance with contractual provisions of client contracts and other third party agreements
  • Perform periodic tests of procedures and/or transactions to monitor the effectiveness of the compliance programs
  • Prepare and conduct training programs
  • Evaluate and review existing programs, policies and procedures
  • Liaise with various groups within the firm and external service providers as needed

We are seeking individuals who meet the following criteria:

  • 3+ years compliance related experience with public equities, investment management, or financial institution
  • Highly motivated, intelligent, hardworking, team player with proven excellence in prior endeavors
  • Understanding of the investment management business and key processes typical to the industry including fundraising, marketing, distribution, and investor reporting
  • Demonstrates substantive knowledge of the rules and regulations associated with the Securities Exchange Commission (SEC), the Securities Act Of 1933, the Securities Exchange Act of 1934, and the Investment Company and Investment Advisers Acts of 1940
  • Experience with SEC Rule 13 F and 13G analyses, and TIC SLT reporting a plus
  • Strong written and oral communication skills
  • Intermediate Microsoft Word, PowerPoint, and Excel skills
  • Positive attitude and ability to build relationships across the business

The Heitman Difference – Culture

Our culture recognizes the importance of our biggest differentiator — our people. Heitman’s collaborative work environment gives our professionals the opportunity to build something together. Something too appealing to ignore and too rewarding to leave.

Our culture is driven by our core values: Respect, Commitment, Innovation, and Integrity. We strive to maintain an inclusive and collaborative environment where all ideas are welcome. Among many other Heitman sponsored programs, we encourage our employees to get out into the community and volunteer with their favorite organizations – you’ll even get paid time off to do just that!

Heitman offers an excellent compensation and benefits package, including medical, dental and life insurance, 401K plan with employer match, and a generous vacation/sick plan.

Additional Information

Interested professionals should apply via our website at www.heitman.com. Please make sure to select “careers” under the About tab to submit your cover letter and resume. If you are a Heitman employee, please make sure to apply using your Heitman email address.

Equal Employment Opportunity: Heitman is an equal employment opportunity employer and complies with all applicable laws prohibiting discrimination based on race, color, creed, religion, sex, age, national origin or ancestry, physical, medical or mental disability or condition (including, without limitation, HIV and AIDS), developmental disability, handicap, denial of family and medical care leave, denial of pregnancy leave, domestic partner status, status as a victim of sexual or domestic violence (or familial relationship to such victim), veteran status, marital status, sexual orientation, arrest records, citizenship status, criminal history that has been expunged, unfavorable discharge from the military, or any other basis protected by federal, state or local laws.

COVID-19 protocol:

Employment with Heitman in the United States is conditioned on proof of full vaccination against the COVID-19 virus (with a WHO-approved COVID-19 vaccine) or, if not vaccinated, participation in a required weekly testing protocol.