Chief Compliance Officer
Company: LaSalle Investment Management
Job Title: Chief Compliance Officer
Location: Chicago, IL
Employment Type: Full-time
Job ID: 44660BR
To Apply: To be considered, please click the link below to apply online or copy and paste the URL noted below into your browser. All resumes MUST BE submitted via our web site. Please reference Job ID: 44660BR
Objective of Role
- Strong knowledge of the following:
- Investment Advisers Act of 1940
- Private equity investing
- Working knowledge of the following:
- Securities Act of 1933
- FINRA rules
- Investment Company Act of 1940
- Real estate (preferred).
Develop, review and implement policies, procedures and guidelines
Perform compliance-based audits on the advisory businesses
Conduct internal training and information sessions
Prepare and present compliance program to external clients
Identify risks and conflicts in current business structure and as new initiatives arise
Leverage and manage existing technology solutions to fulfill compliance responsibilities
Identify existing and source new technology solutions to facilitate and implement legal and compliance initiatives.
- Advise and counsel internal clients with respect to operational, compliance and legal issues, as well as contract interpretation and implementation
- Draft and maintain LaSalle legal documentation, including standard form documents
- Draft and negotiate agreements with investment advisory and broker-dealer clients
- Provide legal review of and negotiate third party general commercial contracts
- Research issues and document position as needed to support advice and conclusions on issues
- Employ strategic use of outside counsel when required, and oversee their work
- Liaise with the Firm’s Risk Management Department to identify/assess liability for provision of services
- Liaise with external clients on due diligence inquiries and general contract related requirements and participate in presentations on the Firm’s compliance and legal structure and programs.
Skills and Qualifications
Juris Doctor from an accredited law school preferred, but will consider strong candidates not possessing a J.D.
Licensed to practice law in at least one U.S. state
5+ years law firm or in-house experience supporting and advising registered investment advisors, preferably those with a real estate or private equity arm.
Experience with and understanding of the types of commercial agreements that are generally seen in a securities regulated business
Ability to work closely with and across business units, and effectively communicate guidance both in written and through face to face interactions
Very strong communication, writing and interpersonal skills essential
Able to critically assess complex issues and conceptualize and articulate pragmatic/creative solutions
Able to work independently, but within a team environment
Able to provide counsel as part of a business or project team
Experience working in a technology solutions driven environment.