Senior Compliance Officer at Amherst
Amherst is revolutionizing the way U.S. real estate is priced, managed and financed in order to unlock opportunities for all market participants. Driven by data, analytics, and technology, Amherst has a 20-year history of anticipating where the next risks and opportunities are likely to emerge and designing actionable strategies for investors to capitalize on opportunities across residential real estate, commercial real estate and public securities. Amherst, along with its affiliates and subsidiaries, has more than 900 employees, $5 billion under management and approximately $15 billion under advisement and oversight. www.amherst.com.
Amherst Capital is a real estate investment specialist. Our real estate expertise is grounded in deep intellectual capital, and one of the world’s most robust U.S. real estate data sets, developed over the past 20 years. We provide investors access to both market-leading data and analysis capabilities, and global distribution strength. We believe that this unique combination enables us to offer a level of investment expertise and technology that is unrivaled in the industry.
At Amherst Capital, we have an innovative and collaborative culture and believe our meticulous approach to risk control, governance, and compliance help create long-term alignment of our interests with our investors. As the market continues to evolve, we believe that our industry-leading platform provides a clear advantage. Amherst Capital is poised to alter the real estate finance landscape with our distinctive intellectual capital and proprietary data and analytics designed to help clients meet their portfolio needs.
The Senior Compliance Officer will assist with the effective implementation and administration of Amherst Capital’s compliance program with an emphasis on initiatives relating to the firm’s mortgage-backed securities strategy. This position works closely with Amherst Capital’s Investment Operations and Portfolio Management areas. This position proactively works with subject matter experts to identify and escalate compliance risks and achieve strong compliance results. In addition, the Senior Compliance Officer will support the business in developing appropriate controls and procedures to mitigate business and product-specific risks and primarily responsible for developing and performing compliance monitoring/testing of the business’s controls.
Assist the CCO in the administration of and ongoing enhancements to all aspects of the firm’s compliance program, including management of the compliance calendar and oversight of recordkeeping
Conduct compliance risk assessments, testing, and monitoring in accordance with regulatory expectations and best practices
Monitor compliance with all regulatory requirements and investment guidelines of the firm’s separately managed accounts and mutual funds within the firm’s order management system (via Bloomberg AIM)
Participate in the coding of client investment guidelines and regulatory requirements in Bloomberg
Research / communicate guideline and trading issues to individuals across the company including Portfolio Management, Operations, and Client Services teams
Train employees (new and existing employees) regarding regulatory compliance requirements
Manage oversight of compliance policies and procedures
Prepare appropriate documentation and respond to compliance questions internally and externally
Review reports, risk indicators, and red flags to identify and propose and implement corrective action
Maintain current knowledge of regulatory requirements and developments, monitor risk, identify and correct possible gaps and weaknesses
7+ years of experience in compliance at an investment management firm (preferably an SEC-registered investment adviser), including experience with real estate or hedge funds
Solid knowledge of Investment Advisors Act, Investment Company Act, and securities laws and regulation
Strong analytical mindset with an ability to synthesize data and quickly identify and resolve issues and with attention given to detail and accuracy
Technical and professional skills or knowledge of testing methodology, risk and controls analysis
Experience with coding investment guidelines in order management systems; Bloomberg AIM a plus
Experience with the review and approval of marketing/advertising materials a plus
Ability to lead and execute multiple projects (short and long term) and tasks independently, accurately, and on time
Experience with drafting, implementing, and testing policies and procedures
Excellent written and oral communication; able to deliver presentations in an articulate and convincing manner
Excellent organizational, problem-solving, decision-making, and time management skills
Advanced proficiency with Microsoft Office Suite
Our full-time employee benefits include:
- A competitive compensation package, annual bonus, 401k match
- Flexible PTO including 7 paid holidays, 1 floating holiday, and 1 volunteer day
- Employer-paid benefits (medical, dental, vision, health savings account)
- Professional career development and reimbursement
- Up to 16 weeks paid maternity leave; up to 4 weeks of paid parental leave
- Backup childcare offered through Bright Horizons
- Relaxed casual environment with virtual office events
Amherst is proud to be an Equal Opportunity Employer and committed to creating an inclusive environment for all employees. We do not discriminate on the basis of race, color, religion, national origin, gender, pregnancy, sexual orientation, gender identity, age, physical or mental disability, genetic information or veteran status, and encourage all applicants to apply.