AVP, Compliance Advisor (RIA Compliance Sr Associate)

TIAA•Charlotte, NC

2d•Onsite

About The Position

The AVP provides day-to-day compliance support for an SEC-registered investment adviser ("RIA") covering alternative strategies, including real estate and real assets, and the underlying business areas of the RIA. This role is a key contributor to the design, controls, and execution of the compliance program, partnering closely with the RIA's Chief Compliance Officer and business partners in assigned coverage areas. Working knowledge of alternative asset classes is a plus but not required.

Requirements

3 or more years of experience in regulatory compliance within financial services industry
Experience supporting Registered Investment Advisers that manage Alternatives asset class strategies and private placements
Working knowledge of various fund structures, including both registered and unregistered funds

Nice To Haves

Working knowledge of alternative asset classes is a plus but not required.
5 or more years of experience in a regulatory compliance within financial services industry
Excellent attention to detail, strong analytical thinking, and effective written and verbal communication skills
Bachelor's degree
High proficiency in Microsoft Excel and PowerPoint

Responsibilities

Support day-to-day compliance inquiries from business partners of all levels.
Assist with developing, reviewing and maintaining the RIA's compliance policies and procedures to ensure alignment with evolving regulatory requirements.
Execute compliance monitoring across key areas, including investment guidelines, affiliation reviews, asset allocation reviews, KYC reviews related to Luxembourg products, and information barrier oversight.
Support the preparation and submission of international regulatory filings, supporting the RIA's global regulatory footprint.
Assist CCO with performing regulatory risk assessments to identify compliance issues, concerns, and deficiencies and implementing action plans to remediate identified issues
Drive collection of data and the preparation and filing of annual Form ADV and Form PF submissions, ensuring timely regulatory compliance.
Support investor due diligence meetings and help oversee compliance-related content included in RFP responses and periodic due diligence questionnaires.
Support the expansion of international regulatory oversight capabilities across the RIA's business lines.