Assistant Vice President, Compliance

Location Brookfield Place New York - 225 Liberty Street, Suite 3501 Business - 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.

Created: 2024-10-19