Reporting to the Deputy Chief Compliance Officer (Deputy CCO), position is responsible for fulfilling the day-to-day responsibilities of the compliance program for CIM’s registered and non-registered advisers, as required by applicable statutory, regulatory and ethical requirements.
Essential Functions:Risk Assessment and Testing. Directing regular risk assessments of the activities and operations of assigned entities to establish or modify the components of the compliance program from time to time as appropriate, including: 1) Promulgating and revising the risk map and risk matrix, as necessary 2) Preparing and implementing a comprehensive compliance testing program based on the foregoing risk assessment 3) Performing testing based on the annual risk assessmentRegulatory Filings and Exams. Responsible for drafting regulatory and/or federal filings, including the Form ADVs, Form PFs, Department of Treasury Surveys and any filings associated with CIM’s foreign activities; as well as, coordinating responses to regulatory exams and information requests. Lobbying Assessment. Responsible for monitoring CIM’s activities with regard to lobbying and filing reports with state and local authorities, as necessary Compliance-Related Projects. Assisting with compliance projects related to data privacy, data destruction, new funds/vehicles, etc.
Education/Experience Requirements:Bachelor’s degreeMinimum 5 years’ experience in Investment Adviser complianceKnowledge of legal and compliance terminology and conceptsKnowledge of Investment Advisers Act of 1940 Knowledge of Securities Exchange Act of1934
Technical Skill Requirements:Proficiency in Microsoft Office including Word, Excel and OutlookProficiency with the Investment Adviser Registration Depository (IARD)