Address
Form of workABOUT CIM GROUP
CIM is a community-focused real estate and infrastructure owner, operator, lender, and developer. Our team of experts works together to identify and create value in real assets, benefiting the communities in which we invest. Back in 1994, our three founders focused on projects in Southern California neighborhoods. Today, we are a diverse team of 1,000+ employees with projects across the Americas. Our projects have delivered jobs; created comfortable places to live, work, and relax; and provided necessary and sustainable infrastructure. Our focus on enhancing communities is unwavering, and we strive to make an even greater impact in the years to come. Join us and make an impact today!
POSITION PURPOSE
The Senior Compliance Analyst is an integral part of the Compliance team and will serve as one of the primary points of contact for corporate personnel regarding compliance with CIM's Code of Ethics program and other compliance policies, as well as serve as the primary administrator of the firm's automated compliance reporting system and assist the Compliance team with day-to-day operations.
RESPONSIBILITIES:- Assist personnel with Code of Ethics-related questions, including those related to personal trading, political activity and gifts and entertainment and outside business activity
- Oversee and administer the Firm's automated compliance system, including compliance certifications campaigns, connecting, terminating and reconciling brokerage account feeds, monitoring personal securities transactions, political contributions and outside activities reporting and managing related disclosures and preapproval requests
- Coordinate new employee onboarding and compliance reporting
- Conduct in-person new hire training on compliance-related policies and procedures
- Administer, assign and follow up on completion of E-Training on various Compliance topics
- Investigate, assess, and document suspected and actual violations of firm policies and help make recommendations on remedial actions
- Assist with quarterly and annual testing and monitoring of policies and procedures
- Respond to requests to access virtual data rooms and maintain associated records
- Update the Firm's Restricted List, Watch List and Private Companies List
- Draft and distribute compliance department communications to convey and reinforce applicable laws and regulations, ethical standards and compliance policies
- Oversee day to day workload and serve as point of contact to outsourced consultants
- Assist with compliance project initiatives
- Oversee email review and updates to automated email archive system, as appropriate
- Bachelor of Arts or Bachelor of Science with related experience or equivalent experience in Compliance
- Minimum of 4 year' experience in Investment Advisers compliance
- Ability to read and interpret applicable regulations and regulatory guidance, including the Investment Advisers Act of 1940 and Investment Company Act of 1940
- Ability to develop and maintain effective working relationships, including but not limited to providing guidance to employees and service vendors and applying appropriate judgment and insight on project initiatives
- Ability to maintain strict confidentiality and discretion in handling highly sensitive and confidential matters
- Ability to communicate, orally and in writing, with individuals at all levels of CIM and with outside law firms, regulatory agencies and the like
HOW WE FEEL ABOUT DIVERSITY & INCLUSION
CIM Group is committed to bringing together humans from different backgrounds and perspectives, providing employees with a safe and welcoming work environment free of discrimination and harassment. We strive to create a diverse & inclusive environment where everyone can thrive, feel a sense of belonging, and do impactful work together. As an equal opportunity employer, we prohibit any unlawful discrimination against a job applicant on the basis of their race, color, religion, gender, gender identity, gender expression, sexual orientation, national origin, family or parental status, disability*, age, veteran status, or any other status protected by the laws or regulations in the locations where we operate. We respect the laws enforced by the EEOC and are dedicated to going above and beyond in fostering diversity across our workplace.
*Applicants with disabilities may be entitled to reasonable accommodation under the terms of the Americans with Disabilities Act and certain state or local laws. A reasonable accommodation is a change in the way things are normally done which will ensure an equal employment opportunity without imposing undue hardship on CIM Group. Please inform our Talent team if you need any assistance completing any forms or to otherwise participate in the application process.
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CIM does not accept unsolicited resumes from Agencies. Any unsolicited resumes received from Agencies will be considered property of CIM and no fees will be due or paid. If you wish to become an approved Agency with CIM or any of its Affiliates, please contact a member of the CIM Talent Acquisition Team.
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