Chief Compliance Officer

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Chief Compliance Officer
The candidate will serve as the primary Compliance Team resource for BHS, the BHS business(es), hedge funds, and employees, and be responsible for the BHS Compliance control structure. Will continually review, enhance and structure the BHS Compliance control structure to ensure compliance with applicable regulatory requirements, and address BHS’ business, both current and future. Oversee other BHS Compliance Team members and take an active role in their professional and personal development. Effectively identify, communicate and escalate compliance matters to other senior Brookfield and BHS Compliance and Legal staff. Monitor for and analyze proposed and current regulatory requirements and interpretations that impact or may impact BHS’ businesses, operations, and hedge funds. Draft, enhance, implement and monitor BHS compliance policies and procedures, including those applicable to BHS hedge funds. Conduct, design, and enhance tests of BHS compliance policies and procedures pursuant to Rule 206(4)-7 under the Investment Adviser’s Act of 1940 (IAA) and other applicable regulatory requirements. Analyze and enhance the BHS Compliance testing program for the BHS compliance policies and procedures and identify opportunities for technology-based compliance solutions. Review all types of marketing, advertising, and client service-related materials for compliance with IAA, FINRA, and other regulatory requirements, and oversee BHS review processes and controls. Design, assess, enhance and monitor BHS internal controls. Monitor portfolio trading and investment activity against investment guidelines, restrictions, disclosures, and regulatory requirements. Oversee third-party vendor relationships involving BHS and perform due diligence and risk assessments. Participate in various BHS working groups, such as Trade Management and CSA/Soft Dollar. Provide training on regulatory and compliance-related matters and requirements. Prepare and submit regulatory filings and reports for BHS, its affiliates, and hedge funds globally.

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