Assistant Vice President, Funds Legal and Regulatory

Brookfield•New York, NY

3d•Onsite

About The Position

The Firm is seeking an Assistant Vice President to support its Funds Legal and Regulatory Team in New York. The Team provides legal and compliance expertise for funds oriented toward the wealth market, including vehicles registered under regulatory regimes around the world and certain unregistered funds. This role will support regulatory matters affecting Brookfield’s Wealth Vehicles, work with registered investment advisers and business units across the broader Brookfield organization and help advance Brookfield’s continued growth in the wealth marketplace. The candidate will be a key member of the Funds Legal and Regulatory Team and will regularly interact with investment, distribution, finance, fund accounting, client service and operations professionals across Brookfield. This role is responsible for supporting the legal and regulatory framework for Brookfield’s private wealth fund platform, with a focus on registered and unregistered Wealth Vehicles offered across U.S. and international markets. The Assistant Vice President will help translate regulatory requirements into practical controls, coordinate with internal stakeholders and service providers, and support the ongoing oversight of fund operations, filings, distribution activity, and compliance testing.

Requirements

Bachelor’s or higher-level degree
3-5 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
Serious consideration will be given to attorneys with 3-5 years of relevant experience who are considering transitioning to a compliance role
Experience working in the asset management, capital markets, private equity, securities or financial services industries is preferred
Working knowledge of the Investment Company Act of 1940, the Investment Advisers Act of 1940, the Securities Act of 1933, the Securities Exchange Act of 1934, and related regulatory requirements is a plus
Background in AML Compliance is beneficial
Demonstrated ability to stay current with, and analyze regulatory and compliance program requirements
Strong client orientation with excellent interpersonal and communication skills
Ability to establish priorities, manage multiple assignments, meet competing deadlines, and work effectively in a fast-paced, collaborative environment
Ability to demonstrate efficient time management and self-discipline
Organized, thorough, and detail oriented
Ability to collaborate effectively with legal, compliance, operations, finance, distribution, and business teams across Brookfield on fund, business, and regulatory initiatives

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
Perform ongoing oversight of Anti-Money Laundering controls at various fund service providers in connection with 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