Posted:
9/27/2024, 8:48:26 AM
Location(s):
New York, United States ⋅ New York, New York, United States
Experience Level(s):
Expert or higher ⋅ Senior
Field(s):
Legal & Compliance
Location
Brookfield Place New York - 225 Liberty Street, Suite 3501Business - Brookfield Oaktree Wealth Solutions
Brookfield Asset Management, a leading global alternative asset manager, has an exemplary 100+ year history of owning and operating real assets and related businesses. In 2019, Brookfield acquired a majority interest in Oaktree Capital, a leader among global investment managers specializing in credit and other alternative investments. Together, Brookfield and Oaktree share a long-term, value-driven, contrarian investment style, focusing on sectors in which their in-depth operating experience and market knowledge provide a competitive advantage.
Brookfield Oaktree Wealth Solutions is a dedicated business delivering the unparalleled alternative investment expertise of Brookfield and Oaktree to private wealth investors, in partnership with their financial advisors. The business unit is dedicated to effectively supporting the financial intermediary community and bringing timely & unique solutions to market with the individual investor in mind.
Brookfield Culture
Brookfield has a unique and dynamic culture. We seek team members who have a long-term focus and whose values align with our Attributes of a Brookfield Leader: Entrepreneurial, Collaborative and Disciplined. Brookfield is committed to the development of our people through challenging work assignments and exposure to diverse businesses.
Job Description
The Firm is seeking to add a Compliance resource to the BOWS Legal and Regulatory Team in its New York office. The position offers a great opportunity for an individual with a “hands-on” approach to become an integral part of the BOWS Legal and Regulatory Team. The candidate will be responsible for supporting the compliance program focused on the marketing and wholesale distribution of our products on a global basis. The role will have responsibility for a range of work, including key responsibilities of a broker-dealer. The candidate will collaborate with legal and regulatory personnel at BOWS and across the broader Brookfield and Oaktree Legal and Regulatory organizations.
Key Responsibilities
Reporting/Filing requirements – BD, BR, U4 and U5, as well as monitoring the FINRA Gateway
Work with Marketing Specialist to maintain regulatory filings of marketing materials with FINRA and assist with review of marketing materials as needed
Maintain and update rosters (ex: employee list, branch list and supervisor designation)
Maintain and update policies and procedures as needed
Assist with review and response to Regulatory Inquiries and Examinations
Conduct Surveillance and Testing of the Compliance Program. Coordinate with the Core Compliance team on surveillance activities. Maintain appropriate backups of respective reviews.
Assist with training of BOWS personnel as needed
Assist with responding to regulatory questions from the business as needed
Maintenance of books and records for the broker-dealer
Candidate Qualifications and Requirements
7+ years of compliance-related experience at a broker-dealer, investment adviser, FINRA, or a law firm is preferred
Bachelor’s degree required
Experience working in a broker-dealer, asset management, capital markets, securities or financial services industry is preferred
Proficient knowledge of SEC, FINRA, state and other regulatory requirements applicable to a broker dealer’s activities
Working knowledge of, and experience working with and applying, the regulatory requirements and restrictions that apply to the marketing and wholesale distribution of private funds and semi-liquid offerings on a global basis
High degree of self-motivation and professionalism, with a confident, assertive style and tenacity to deliver results
Strong relationship-building and conflict-resolution skills
Strong interpersonal and verbal communication skills
Strong analytical and problem-solving skills combined with attention to detail and thoroughness
Desire to work in a team‐based entrepreneurial environment with an ability to collaborate and respond to business needs
Able to establish priorities, work on multiple assignments, meet competing deadlines and work in a dynamic, fast-paced global environment
Salary Range: $105,000 - $150,000
Our compensation structure is comprised of a base salary and a short-term incentive program (cash bonus). Cash compensation tends to vary based on geography to account for local market conditions and is set to be market competitive. Compensation decisions are based on a number of factors including relative experience, overall years of experience, industry experience, education and designations.
Brookfield is committed to maintaining a Positive Work Environment that is safe and respectful; our shared success depends on it. Accordingly, we do not tolerate workplace discrimination, violence or harassment.
We are proud to create a diverse environment and are proud to be an equal opportunity employer. We are grateful for your interest in this position, however, only candidates selected for pre-screening will be contacted.Website: https://brookfield.com/
Headquarter Location: Menlo Park, California, United States
Employee Count: 10001+
Year Founded: 2017
Industries: Finance ⋅ Financial Services ⋅ Venture Capital