Deputy Chief Compliance Officer

Job Locations US-UT-Sandy, Utah
Job Post Information* : Posted Date 1 month ago(7/10/2020 11:25 AM)
Job ID
2020-2721
# of Openings
1
Department
Compliance

Company Info

Bridge Investment Group is a leading privately held real estate investment and property management firm with over $20 billion in assets under management. Bridge pursues investment opportunities in targeted real estate sectors that offer attractive returns including current income and capital appreciation.  Its real estate activities encompass the acquisition, financing, property management, optimization and disposition of real assets and CRE-backed fixed income securities. The Company operates in five targeted verticals; multifamily, office, seniors housing, opportunity zone investments and CRE-backed fixed income, and has specialized investment teams focused on each of these areas to generate above-market returns for its investors.

Bridge Culture

Bridge is well-regarded for its high integrity and collaborative leadership culture that rewards both individual thinking and team decision-making.  Our leadership are seasoned professionals who bring their vast experience and high standards of excellence to their work.

Given our horizontal scope and vertical integration, Bridge professionals are empowered to work across functional teams. As a result, they are deeply specialized and highly versatile with a clear understanding of how their roles fit into a broader context.

Our leaders’ value career development and take seriously the role they play in developing next generation leaders.  Bridge professionals embody accountability and seek to deliver high-quality results through creativity and innovation. 

Position Info

The Deputy Chief Compliance Officer reports to the Firm’s Chief Compliance Officer who functions as an independent and objective body that monitors, reviews and evaluates compliance issues or concerns within the organization. This position is responsible for ensuring Bridge’s partners, management and employees comply with the rules and regulations of the SEC and other regulatory agencies.

Led by and in partnership with the Chief Compliance Officer the following are expectations for the role:

  • Develop, initiate, maintain and revise policies and procedures for the general operation of the compliance program and its related activities to prevent illegal, unethical, or improper conduct
  • Monitor, and as necessary, coordinate compliance activities of other departments to remain abreast of the status of all compliance activities and to identify trends
  • Assume ultimate responsibility for ensuring that the company conducts its business in compliance with applicable SEC et al. laws and regulations
  • Identify potential areas of compliance vulnerability and risk; develop/implement corrective action plans for resolution of problematic issues, and provide general guidance on how to avoid or deal with similar situations in the future

Qualifications

  • Significant experience as a compliance professional at an SEC-registered investment advisor or regulator.
  • JD strongly preferred.
  • Series 65 strongly preferred.
  • Experience drafting and filing federal and state regulatory filings and compliance documentation (including SEC Form ADV, SEC Form PF, REG D Form D, Blue Sky filings, CFTC exemption filings, AIFMD filings, NFA filings).
  • Practical history and understanding of U.S. Securities and Exchange Commission’s exams and audits. Expertise in enhanced AML/KYC rules for US, Cayman Islands and other jurisdictions.
  • Understanding and knowledge of public non-traded REIT structures, open ended mortgage backed securities pools, closed end private equity limited partnerships and Luxemburg securities offering regulations strongly preferred.
  • Applicable experience in developing and mitigating risk management policies and procedures.
  • Practical knowledge of real estate transactions from a debt and an equity perspective.
  • Experience drafting and updating corporate compliance policies and procedures.
  • Prior experience with varied compliance functions, including approval of employee outside affiliations, IPO purchases, securities restricted lists, employee securities trading and email surveillance, political contributions, gifts and entertainment.
  • Prior experience maintaining and conducting employee training, reviewing capital raising marketing materials, code of ethics, handling all regulatory inquiries, risk management, enforcing robust companywide policies and procedures, annual/quarterly testing.
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About the Benefits

Bridge distinguishes itself by providing our employees with:

  • A highly competitive base salary
  • Bonus and carried interest eligibility based on individual and team performance
  • A suite of benefits including comprehensive medical, dental and vision
  • Generous paid time off including maternity and paternity leave

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