Compliance Analyst

Responsibilities

• Support the development, implementation, and monitoring of compliance policies and procedures
• Coordinate with internal teams to enhance current compliance procedures
• Assist in developing and conducting firmwide training
• Perform compliance reviews and testing procedures
• Assist with regulatory filings including Form ADV, Form PF, Form SHL, and Form SLT
• Monitor regulatory developments and assess impact on the firm
• Support administration of compliance software (Comply) and side letter management platform (Ontra Insights)
• Monitor new hire onboarding and departing employee offboarding requirements
• Assist with internal audit (JSOX) requests

Requirements

• Bachelor’s Degree in a related field
• 1-3 years of compliance, audit, legal, or related experience
• Familiarity with the Investment Advisers Act of 1940
• Strong attention to detail and organizational skills
• Excellent verbal and written communication skills
• Strong project management skills

Preferred Qualifications

• Compliance, legal, or public accounting background
• Experience with SEC, FINRA, CFTC/NFA, or ERISA regulatory environments
• Private equity fund compliance experience

About the Company

Founded in 1982, TA Realty is an experienced and established real estate investment management firm that has managed over $44 billion of real estate assets through core, core plus, and value-add strategies.