Compliance Officer / SR Counsel -Investment Management The candidate will be developing incisive reports for the Senior Vice President, Chief Investment Officer and his leadership team, the GCO and the Associate Chief Counsel. Will be ensuring compliance with the Investment Advisers Act of 1940 and other applicable federal and state regulations affecting CIM s investment and business operations. Remaining apprised of legislative and regulatory developments that might affect CIM s operation. Developing and implementing an annual risk assessment and mitigation plan. Ensuring that CIM maintains, and periodically updates, compliance policies and procedures that fulfill regulatory requirements and are informed by best business practices. Supporting CIM with internal governance and business compliance requirements, including development and maintenance of related documents and reporting (e.g., investment authorizations, board resolutions, legal entity formations, M&A support, etc.). Developing and implementing training and education programs that promote a culture of compliance and that are tailored to the job responsibilities of the recipients. Ensuring that reports of compliance concerns, including potential violations of firm's Code of Ethics and Principles of Conduct, compliance policies and procedures, or laws or regulations, are timely addressed and escalated appropriately. Supporting Enterprise Compliance and Internal Audit in internal audits and reviews, and investigations of reports of potential instances of non-compliance. Overseeing implementation of corrective action plans and other remedial measures that are undertaken to address compliance risks or concerns. And Collaborating with the Associate Chief Counsel and firm's Legal to develop and implement compliance controls that are warranted, or enhance those that have been previously adopted.
The candidate should have strong academic record, including undergraduate and Juris Doctorate degrees, and 8+ years of relevant employment experience. Significant expertise and understanding of the Investment Advisers Act of 1940 and state insurance investment regulations is strongly preferred. Must Understand the design and operation of an effective compliance program for CIM ?¢s business.
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