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Associate, Compliance

Chicago, Illinois

Description

 

Company Description

 

Founded in 1966, Heitman is a premier global real estate investment management firm with over $50 billion in assets under management. Heitman has three main business lines: direct real estate investment; the origination and servicing of debt secured by real estate and investments in publicly traded securities, including REITs, REOCs and other real estate companies. The Firm offers investment products and services across the risk/return spectrum, within each category.

 

Heitman is proud to be employee owned, and the firm’s real estate solutions are directed by some of the most experienced and innovative professionals in the industry. Headquartered in Chicago, with offices in Frankfurt, Hong Kong, London, Los Angeles, Luxembourg, Melbourne, New York, Seoul and Tokyo, Heitman has 350 employees who offer specialized expertise — from a specific discipline to local insight.

 

This Opportunity

 

Heitman is currently looking for an 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 an 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
  • Assist with compliance testing for private & public real estate business valuations, fees, proxy voting, and ISS review, among other items
  • Assist with Compliance reporting and auditing where needed
  • 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
  • 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:

  • 1+ years compliance related experience with public equities, investment management, or financial institution
  • Understanding of the investment management business, industry terminology, and key processes typical to the industry including fundraising, marketing, distribution, and investor reporting
  • Demonstrates 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
  • Familiarity with monitoring client portfolio guidelines
  • Firm understanding of the securities markets from trade origination to trade settlement
  • Strong written and oral communication skills
  • Intermediate Microsoft Word, PowerPoint, and Excel skills
  • “Experience with Personal Trading Assistant (PTA) and/or ComplianceAlpha (ACA), EZE, and/or Pre-Trade Portfolio Guideline Compliance systems a plus”


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.