Chief Compliance Officer

Job Title: Chief Compliance Officer
Location: Chicago, IL
Reporting to: Americas General Counsel
Employment Type: Full-Time

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Description of Role

To serve as the Chief Compliance Officer of LaSalle Investment Management, Inc. (“LaSalle”) and its subsidiary LaSalle Debt Investors, Inc., (“LDI”) both of which are real estate investment advisory firms registered with the SEC.  LaSalle is dedicated to investing in real estate and real estate related investments on behalf of its institutional clients and sponsored funds.  LDI is an affiliate of LaSalle that operates a debt platform that sponsors private real estate debt funds.  LaSalle and LDI are designed to run through a single compliance platform that offers a streamlined compliance program for common obligations.  The CCO role reports through the Legal and Compliance Department and plays a key leadership role in our firm.  The candidate will be expected to provide end-to-end compliance oversight of the compliance program, and in doing so will partner with the firm’s senior executives to ensure the firm’s compliance program remains robust and functional.  The applicant should also be a self-starter who is capable of balancing risk, speed and accuracy to address complex problems.  Strong communication skills, both verbal and written, are essential given the breadth of the business and the complexity of the role. 

Key Responsibilities and Experience

Strong knowledge of the following:

  • Investment Advisers Act of 1940
  • Private equity industry
  • Real estate (preferred)

 

Compliance/Regulatory

  • Developing and enforcing appropriate policies and procedures for the firm to ensure compliance with applicable securities laws and regulations
  • Completing and filing all Investment Adviser related SEC-filings, including Form ADV, Form PF and Form SHL
  • Collaborate with colleagues in the Legal and Compliance Department to achieve efficiencies, share institutional knowledge and execute on common initiatives that benefit the business
  • Perform compliance-based audits on the advisory businesses
  • Conduct internal training and information sessions
  • Prepare and present compliance program to external clients
  • Work with client teams on marketing reviews
  • Lead and manage regulatory audits of the business
  • Identify risks and conflicts in current business structure and as new initiatives arise
  • Leverage and manage existing technology solutions to fulfill compliance responsibilities
  • Identify new technology solutions to facilitate and implement legal and compliance initiatives

 

Skills and Qualifications

  • Bachelors degree
  • 10+ years experience in a legal and/or compliance role supporting and advising registered investment advisors, preferably those with a real estate or private equity arm 
  • 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
  • Collaborative and client-friendly mindset, with the ease of working constructively and professionally across all employee levels