Senior Associate, Compliance

This Opportunity 
 

Heitman is currently looking for a Senior Associate to join our Compliance team that will provide support across private equity, private debt, and public securities solutions. This individual will collaborate with senior leaders across business units and internal investment teams to assist with all matters of regulation and compliance at the firm. The role will include compliance monitoring and testing, preparation of regulatory filings, corporate governance, and compliance training, among other tasks. The ideal candidate will be highly organized, and detail oriented in order to stay updated on compliance related tasks in the ever-changing real estate investing environment.

Responsibilities include, but are not limited to:

• Promote and protect Heitman’s reputation for ethics, integrity and honesty
• Hold Code of Ethics orientation meetings for new employees, manage employee certifications, pre-clear personal trade requests, monitor and test employee trading and manage COE logs
• Maintain corporate governance for investment and corporate entities, including drafting consents and resolutions
• Prepare client-mandated compliance reports/certifications
• Prepare and submit regulatory filings, including Form ADV, Form PF, Form 13F, Form N-PX, TIC SLT, and others
• Maintain compliance calendar and review/address regulatory changes as directed
• Review processes for compliance with contractual provisions of client contracts
• Perform periodic tests of procedures and/or transactions to monitor the effectiveness of the compliance programs
• Prepare and conduct training programs
• Liaise with various groups within the firm and external service providers as needed
• Assists with updates and revisions to the firm’s policies and procedures

Qualifications:

• 2-4 years of compliance related experience within private equity, public equities, investment management, or financial institutions.
• Possess high attention to detail with an ability to effectively manage multiple deadlines.
• Highly motivated, intelligent, hardworking, team player with proven excellence in prior endeavors.
• Understanding of the investment management business and key processes typical to the industry including back-office processes or fund operations.
• 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
• Experience with Form PF, Form N-PX, SEC Rule 13 F and 13G analyses, or TIC SLT reporting a plus
• Strong written and oral communication skills
• Intermediate Microsoft Word, PowerPoint, and Excel skills
• Positive attitude and ability to build relationships across the business

Job Location and Travel

• This position is based in our Chicago office.
• Our teams work in a hybrid environment and in-office days vary by team.

We are looking for great candidates who have a unique combination of experiences, traits, and talents. We couldn’t describe you in a list of bullet points, so consider this posting a conversation starter. If you check some, but not all, of our boxes, we still want to talk! Please apply for this role if much of this job description describes you.

Right Company, Wrong Role? Check out our other opportunities or refer a friend!

The Firm

Founded in 1966, Heitman is a global real estate investment management firm. Our mission is to lead the evolution of real estate through investments that fulfill the needs of people and communities in a world of constant change. To learn more about our organization and culture, click here.

Total Rewards (Compensation, Benefits & Perks):

At Heitman, we believe that our