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Compliance Officer

New York City, NY

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Clarion Partners LLC (u201cClarionu201d), an SEC registered investment adviser with FCA-authorized and FINRA member affiliates, has been a leading U.S. real estate investment manager for more than 36 years. Headquartered in New York, the firm maintains offices in key markets throughout the United States and in London, England. With more than $45.6 billion in total assets under management, Clarion Partners offers a broad range of real estate strategies across the risk/return spectrum to its more than 300 domestic and international institutional investors. Clarion is seeking a Compliance Associate/Counsel to join the Legal and Compliance team in providing the following support for three of the firmu2019s regulated entities in the US and UK: u2022 Actively contribute to managing all aspects of the firmu2019s comprehensive compliance programs u2022 Work directly with stakeholders at various levels in the firm to develop and draft risk-based compliance policies customized to the firmu2019s business model u2022 Design and implement compliance tests and independently manage remediation efforts u2022 Partner with the business to critically assess and mitigate legal and compliance risks and conflicts of interest u2022 Review and approve marketing and advertising material as a core function of the role u2022 Administer the firmu2019s Code of Ethics u2022 Make regulatory filings u2022 Oversee annual and ad hoc compliance program audits u2022 Assist with regulatory exams u2022 Provide employee compliance training u2022 Manage various external consultant and external counsel deliverables u2022 Support the firmu2019s Senior Counsel with private funds-related legal matters (e.g., advising the funds on discrete legal matters, drafting side letters, amending offering documents, etc.), corporate governance, reviewing and drafting investment management agreements, reviewing confidentiality agreements and other ad hoc matters as needed u2022 Guide and support the firmu2019s sales and marketing practices within and outside the US u2022 Coordinate firm regulatory registrations, registered representative continuing education and licensing and related administrative requirements The role reports to the firmu2019s Compliance Officer/Counsel. Requirements Qualifications: u2022 A minimum of five years of compliance experience in a similar position at an investment adviser or broker dealer u2022 License to practice law in NY or another US state u2022 FINRA licenses 7, 24 preferred; ultimately required for the role u2022 Significant technical experience in FINRA, SEC and state rules and regulations u2022 Self-starter with the ability to own and manage numerous complex and high priority matters with competing deadlines u2022 Experience navigating conflicting business interests and confidently working directly with executive stakeholders u2022 Advisers Act experience desired

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