The AVP, Compliance will be responsible for and partner with the General Counsel and Chief Compliance Officer to ensure compliance with all regulatory, legal and fiduciary responsibilities of Waterton as a registered investment adviser with the Securities and Exchange Commission (“SEC”), including the accurate and timely preparation of regulatory filings, review of marketing material, and maintenance of Waterton’s Compliance Manual. This role will also assist overseeing Waterton’s fund and side letter compliance and provide consultative services to internal staff.

• Monitor adherence to Waterton’s Compliance Manual, including but not limited to, oversight of all personal trading, political contributions, outside business activities, business continuity planning, data breach and conflicts of interest mitigation and marketing material review.
• Prepare internal reporting and regulatory filings.
• Create and conduct compliance training for associates, including onboarding and periodic training.
• Conduct compliance testing and monitoring, troubleshoot compliance issues, recommended corrective action and document the same.
• Respond to SEC examinations and other requests from the SEC and other regulatory or government entities.
• Respond to due diligence and other inquiries from clients and associates regarding compliance-related issues.
• Review marketing materials
• Draft and revise Waterton’s Compliance Manual and compliance policies.
• Oversee Waterton’s fund and side letter compliance and documentation of the same
• Establish and maintain good relations with residents, guests, all investors, vendors and colleagues.
• Help to manage the execution of the department’s performance management goals and objectives.
• Maintain corporate and property-level standard operating procedures.

Education- Bachelor’s Degree required

Certifications/Licenses- Regulatory experience preferred

Experience- 5 years of relevant regulatory compliance experience; real estate experience desired; private equity experience desired. Strong knowledge of the various laws, rules, and regulations applicable to SEC-registered real estate investment advisers

Travel- Some travel may be required.