Colony Capital

  • Analyst, Compliance

    Job ID
    2018-1406
    Job Locations
    US-CA-Los Angeles
  • Overview

    Colony Capital, Inc. (NYSE: CLNY) is a leading global investment management firm that manages capital on behalf of its stockholders as well as institutional and retail investors in private funds, non-traded and traded real estate investment trusts and registered investment companies. CLNY is headquartered in Los Angeles with over 400 employees in offices located across 17 cities in 10 countries.  

     

    This position will provide general support to the Chief Compliance Officer and the compliance team in connection with overseeing and administering a comprehensive compliance program for a registered investment adviser. This position offers an opportunity for a strong candidate to gain exposure to a global real estate and investment management firm. 

    Responsibilities

    • Review and maintenance of compliance program
    • Review compliance forms and questionnaires, employee securities holdings and trading activity
    • Maintain and manage an online compliance reporting platform (Schwab CT)
    • Review and administer firm-wide written policies and procedures and annual compliance review
    • Maintain current knowledge of laws and regulations and keep abreast of recent changes
    • Assist with compliance training to new employees
    • Assist in drafting and preparing Forms ADV Parts I and II, Form PF and other required filings
    • Assist in conducting the Company’s annual risk assessment and help identify potential conflicts and risk areas within various business units
    • Assist in conducting Anti Money Laundering testing and sanctions screening risk assessments
    • Assist with conducting social media reviews
    • Assist with regulatory exams as needed
    • Assist with general compliance duties as needed

    Qualifications

    • Bachelor’s degree
    • 3-5 years’ experience in a compliance related role
    • Excellent oral and written communication skills
    • High degree of professionalism when interacting with senior professionals
    • Ability to work overtime to meet deadlines if necessary
    • Self-starter / highly organized / detail oriented / ability to multi-task
    • Proficient with MS Word and Excel
    • Attention to detail while adapting to a fast paced environment

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