Director of Compliance and Internal Audit

The Faropoint Compliance team is expanding. We are seeking an ambitious and brilliant Director of Compliance and Internal Audit.

Responsibilities :

  • Conduct AML screening of potential investors and tenants.
  • Assist the Chief Compliance Officer in reviewing potential positive matches against mandatory AML screening lists.
  • Partner with market officers and the business continuity management team to ensure the business continuity and disaster recovery plan remains current. Perform monthly and quarterly compliance testing associated with the firm’s code of ethics and compliance manual.
  • Lead and manage internal audits across asset management, finance, investor relations, originations, IT, Construction, and ESG. Collaborate with General Counsel, Accounting, and FP&A to periodically review firmwide expenses and allocations.
  • Monitor firm policies and procedures to confirm business area owners and key stakeholders provide necessary enhancements based on updated SEC rule requirements.
  • Develop firmwide training materials covering at a minimum the code of ethics, compliance manual, insider trading, personal trading, AML, risk management, and MNPI.
  • Assist the Chief Compliance Officer in gathering necessary documentation associated with regulatory and external examinations. Execute at least three level annual risk assessments covering operational, market, credit, and liquidity risks.
  • Prepare monthly, quarterly, and annual reporting for senior leadership.
  • Implement company-wide procedures to build company infrastructure and enhance company growth.

Candidate Profile:

  • 7-10 years of financial services and/or commercial real estate experience with a focus on Compliance and Internal Audit. Experience working in Compliance and/or Internal Audit at a Registered Investment Advisor (advantage).
  • Bachelor’s Degree in Accounting, Finance, or a related field.
  • Certified Fraud Examiner or Certified Anti-Money Laundering Specialist – a plus.

Key Skills & Abilities:

  • In-depth knowledge of SEC regulatory requirements.
  • Strong analytical, accounting, and critical thinking skills.
  • Experience using due diligence tools, personal trading systems and compliance monitoring solutions. Excellent written and oral communication skills.
  • Have strong and proficient technology skills, especially Microsoft Excel, and be able to produce accurate and professional documents. Be able to effectively handle multiple projects and responsibilities while demonstrating attention to detail and a high level of accuracy. Be able to comprehend and enhance procedures from business area and key stakeholder perspective.
  • Be able to work independently and as part of a team.

Apply to position:

Director of Compliance and Internal Audit

This position is available for both men and women
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