What are the responsibilities and job description for the Director - Compliance position at Asana Partners?
Description
Asana Partners is a retail real estate investment firm creating value in vibrant neighborhoods by leveraging vertically integrated capabilities and retail expertise. With more than $7 billion of neighborhood assets under management, the firm is active in growth markets throughout the United States and is driven to make a positive impact within communities.
Our distinctive company culture is the key to our success. We recruit high-performing, ambitious individuals who are entrepreneurial and eager to maximize their potential in a team environment. We value relationship building – both internally and externally – and view it as the foundation for creating value for our neighborhoods and generating strong results for our investors. Asana Partners is known for its proven, strategic approach; our sophisticated, collaborative team; and our high-quality portfolio. With offices in Charlotte, Atlanta, Boston, Columbia, Denver, Los Angeles, and New York, we were founded to be a firm that would provide career-long opportunities for our people and a long-term partner for our investors.
For additional information, visit www.asanapartners.com or follow @asanapartners.
Duties
The Director – Compliance position will lead and enhance the compliance program at Asana Partners, which is a registered investment adviser with the Securities and Exchange Commission (“SEC”) and is subject to the Investment Advisers Act of 1940 (the “Advisers Act”). The senior role will work with the General Counsel & Chief Compliance Officer and serve as a key advisor to firm leadership on compliance strategy, risk management and regulatory matters. The Director will ensure that the Firm and its employees fulfill ongoing compliance obligations, anticipate regulatory developments, and implement best practices to support a dynamic investment advisory business. This individual will partner with different departments to provide practical guidance on complying with the applicable financial rules and regulations and grow the compliance program for the evolving investment advisory business and regulatory landscape. Duties include:
Asana Partners is a retail real estate investment firm creating value in vibrant neighborhoods by leveraging vertically integrated capabilities and retail expertise. With more than $7 billion of neighborhood assets under management, the firm is active in growth markets throughout the United States and is driven to make a positive impact within communities.
Our distinctive company culture is the key to our success. We recruit high-performing, ambitious individuals who are entrepreneurial and eager to maximize their potential in a team environment. We value relationship building – both internally and externally – and view it as the foundation for creating value for our neighborhoods and generating strong results for our investors. Asana Partners is known for its proven, strategic approach; our sophisticated, collaborative team; and our high-quality portfolio. With offices in Charlotte, Atlanta, Boston, Columbia, Denver, Los Angeles, and New York, we were founded to be a firm that would provide career-long opportunities for our people and a long-term partner for our investors.
For additional information, visit www.asanapartners.com or follow @asanapartners.
Duties
The Director – Compliance position will lead and enhance the compliance program at Asana Partners, which is a registered investment adviser with the Securities and Exchange Commission (“SEC”) and is subject to the Investment Advisers Act of 1940 (the “Advisers Act”). The senior role will work with the General Counsel & Chief Compliance Officer and serve as a key advisor to firm leadership on compliance strategy, risk management and regulatory matters. The Director will ensure that the Firm and its employees fulfill ongoing compliance obligations, anticipate regulatory developments, and implement best practices to support a dynamic investment advisory business. This individual will partner with different departments to provide practical guidance on complying with the applicable financial rules and regulations and grow the compliance program for the evolving investment advisory business and regulatory landscape. Duties include:
- Advise senior leadership on emerging regulatory risks, enforcement trends, and compliance implications for strategic initiatives
- Serve as a thought leader on compliance matters, including AI, cybersecurity and data privacy
- Oversee all aspects of the compliance program including onboarding and offboarding employees into the compliance system, and address employee questions around the Code of Ethics
- Maintain all records of compliance regarding pre-clearance approvals and marketing reviews
- Manage compliance operations related to marketing reviews, pre-clearance approvals and recordkeeping
- Coordinate with Investor Relations on global marketing compliance and licensing requirements
- Track and manage compliance with fund partnership agreements and investor side letter agreements
- Provide dedicated compliance support to the firm and partner with external regulatory advisers
- Lead preparation and response efforts for SEC audits and other regulatory inquiries
- Conduct the annual compliance review and back test different compliance policies; continually assess the compliance policies and procedures, and drive implementation of policy enhancements
- Collaborate closely with the Finance & Accounting teams on regulatory reporting requirements
- Leverage data analytics to identify trends, gaps and opportunities for program improvement
- Deep knowledge of the Advisers Act, insider trading, anti-money laundering laws, anti-bribery and corruption rules, and conflicts of interest
- Proven track record managing SEC audits and regulatory communications
- Fluency with the FINRA IARD system and SEC filings including Form ADV and Form PF
- Highly organized, proactive, solutions-oriented thinker, with a passion for compliance and helping a growing firm navigate evolving rules and regulations
- Strong communication, interpersonal, and collaboration skills
- 10 years of advanced compliance experience at a financial services firm
- Expertise with the FINRA IARD system to input annual Form ADV and Form PF
- Knowledge with compliance monitoring systems, such as ComplySci and technology solutions
- Experience with private equity, fund management, and/or real estate strongly preferred
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