Deputy Compliance Officer
Heitman
 Chicago, IL

Company Description

Founded in 1966, Heitman LLC is a global real estate investment management firm with over $44 billion in assets under management. Heitman’s real estate investment strategies include direct investments in the equity or debt capitalization of a property or in the securities of listed and publicly traded real estate companies. Heitman serves a global client base with clients from North American, European, Middle Eastern and Asia-Pacific institutions, pension plans, foundations and corporations and individual investors. Headquartered in Chicago, with additional offices in North America, Europe, and Asia-Pacific, Heitman’s more than 325 employees offer specialized expertise – from a specific discipline to local insight.

Job Description

Heitman is currently looking for a Deputy Compliance Officer who will focus on private equity and private debt solutions. This individual will report to the Chief Compliance Officer/Deputy General Counsel and will work closely with senior leaders in the firm’s business units and coordinate with other internal support teams, internal audit, legal and marketing.

They will assist with all matters of regulation and compliance at the firm related to private equity and debt. The role will include compliance monitoring, preparation of regulatory filings, support of marketing activities, firm-wide compliance training, and testing.

The responsibilities of a Deputy Compliance Officer include, but are not limited to:

  • Promote and protect Heitman’s reputation for ethics, integrity and honesty
  • Review marketing materials, advertising, disclosures, notices, compliance related regulatory reports and forms for compliance with rules and regulations.
  • Prepare client-mandated compliance reports/certifications and various SEC materials
  • Maintain compliance calendar and review/address regulatory changes as needed
  • Monitor the procedures and practices of personnel for compliance with contractual provisions of client contracts and other third party agreements
  • Perform periodic tests of procedures and/or transactions to monitor the efficiency of the compliance programs
  • Prepare and conduct training programs
  • Evaluate and review existing programs, policies and procedures
  • Liaise with various groups within the firm and external service providers as needed

Qualifications

  • Highly motivated, intelligent, hardworking, team player with proven excellence in prior endeavors
  • legal experience in a compliance role or working as a lawyer at a hedge fund/private equity fund or consulting or financial services firm considered a plus
  • Understanding of the investment management business and key processes typical to the industry including fundraising, marketing, distribution, and investor reporting
  • Demonstrates substantive knowledge of the rules and regulations associated with the Securities Exchange Commission (SEC), the Securities Act Of 1933, the Securities Exchange Act of 1934, and the Investment Company and Investment Advisers Acts of 1940
  • Sensitivity and awareness of non-US regulatory regimes and statutory regimes (including MiFID and AIFMD) would be considered beneficial
  • Strong written and oral communication skills
  • Intermediate Microsoft Word, PowerPoint, and Excel skills
  • Positive Attitude and ability to build relationships across the business

Additional Information

Interested professionals should apply via our website at www.heitman.com. Please make sure to select “careers” under the About tab to submit your cover letter and resume. If you are a Heitman employee, please make sure to apply using your Heitman email address.

Equal Employment Opportunity: Heitman is an equal employment opportunity employer and complies with all applicable laws prohibiting discrimination based on race, color, creed, religion, sex, age, national origin or ancestry, physical, medical or mental disability or condition (including, without limitation, HIV and AIDS), developmental disability, handicap, denial of family and medical care leave, denial of pregnancy leave, domestic partner status, status as a victim of sexual or domestic violence (or familial relationship to such victim), veteran status, marital status, sexual orientation, arrest records, citizenship status, criminal history that has been expunged, unfavorable discharge from the military, or any other basis protected by federal, state or local laws.