Analyst, Registered Funds Legal and Regulatory

Location

Brookfield Place New York - 225 Liberty Street, Suite 3501

Business - Public Securities

Brookfield’s Public Securities Group serves institutions and individuals seeking the investment advantages of real assets through actively managed listed equity and debt strategies. The Public Securities Group leverages Brookfield’s core real asset expertise across real estate, infrastructure, real asset debt, real asset solutions and opportunistic strategies through a variety of flexible and scalable investment mandates, including separate accounts, registered funds and private funds. Clients include financial institutions, public and private pension plans, insurance companies, endowments and foundations, sovereign wealth funds and high net worth investors. The Public Securities Group has been investing in public securities for over 30 years and has over $28 billion of assets under management. For more information, visit https://publicsecurities.brookfield.com.

Brookfield Culture

Brookfield has a unique and dynamic culture.  We seek team members who have a long-term focus and whose values align with our Attributes of a Brookfield Leader:  Entrepreneurial, Collaborative and Disciplined.  Brookfield is committed to the development of our people through challenging work assignments and exposure to diverse businesses.

Job Description

The Firm is seeking to add a resource to support its Registered Funds Legal and Regulatory Team in its New York office. The Team offers specialized expertise in legal and compliance matters related to funds registered under various regulatory regimes around the world, as well as certain unregistered funds oriented towards the wealth market (collectively, “Wealth Vehicles”).  The Team engages with multiple registered investment advisers and other business units across the broader Brookfield organization in support of Brookfield’s efforts to drive its penetration of the wealth marketplace. This candidate will assist with a wide range of regulatory matters impacting Brookfield’s Wealth Vehicles. The candidate will be a key member of the Registered Funds Legal and Regulatory team and will regularly interact with investment, distribution, finance, fund accounting, client service and operations professionals across Brookfield.

Responsibilities:

• Assist in developing, drafting, enhancing, implementing, and monitoring compliance with applicable policies and procedures involving both US and internationally domiciled Wealth Vehicles

• Conduct ongoing oversight of internal and third-party service providers to the US and internationally domiciled Wealth Vehicles

• Assist with the ongoing screening of Brookfield’s network of sales intermediaries for its Wealth Vehicles

• Conduct in-house reviews to test relevant compliance policies and procedures

• Monitor fund trading activity against restricted lists, investment restrictions and other contractual and regulatory requirements, and prepare appropriate reports.

• Review marketing materials for regulatory compliance as needed

• Assist with the preparation of regulatory filings for Wealth Vehicles

• Draft responses to client questionnaires and checklists, and requests for proposals (RFPs) and requests for information (RFIs) related to Wealth Vehicles

Qualifications and Requirements:

• Bachelor’s or higher-level degree

• 1-3 years of compliance or audit related experience at an investment adviser or an equivalent period of paralegal experience within an asset management practice at a top tier law firm

• Experience working in the asset management, capital markets, private equity, securities or financial services industries is preferred

• Working knowledge of Investment Company Act of 1940, Investment Advisers Act of 1940, the Securities Act of 1933, the Securities Exchange Act of 1934 and related regulatory requirements is a plus 

• Demonstrated ability to stay current with, and analyze regulatory and compliance program requirements

• Strong client orientation with excellent interpersonal and communic