Compliance Analyst - Legal & Compliance

Clarion Partners, 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 39 years. Headquartered in New York, the firm has offices in major markets throughout the U.S. and Europe. With over $59 billion in total assets under management, Clarion Partners offers a broad range of both equity and debt real estate strategies across the risk/return spectrum to its more than 500 domestic and international institutional investors. More information is available at .

Clarion Partners is seeking a Compliance Analyst to join the Legal and Compliance team in providing the following support for the firm’s regulated entities in the US and UK:

LEGAL & COMPLIANCE RESPONSIBILITIES

• Supervise firm’s compliance monitoring technology platform and review Code of Ethics preapprovals.

• Manage personal trade review and brokerage account maintenance

• Support business with questions related to brokerage accounts and trading in compliance with company policies

• Administer and monitor quarterly attestations including outside business activities, gifts and entertainment review

• Play an active role in the maintenance, surveillance and enhancement of firm’s compliance policies and procedures

• Assist with the overall organization and operation of the firm’s compliance functions

• Maintain compliance records

• Liaise with the firm’s marketing team and review marketing materials

• Coordinate completion and submission of firm regulatory filings, including Form ADV, Form BD, Form PF, and others.

• Assist with fund onboarding and investor AML/KYC

• Perform email review and other compliance supervision responsibilities

• Support overall functions of the Legal and Compliance Department for and Investment Advisor and FINRA member firm.

QUALIFICATIONS:

• Bachelor’s degree required

• Highly organized and capable of prioritizing a diverse workload

• Self-motivated, responsible, energetic and dependable with a high degree of poise and positive attitude.

• Excellent verbal and written communication skills. Attention to detail is very important.

• Ability to take direction and work independently while applying sound judgment

• Excellent oral and written communication skills with ability to interact effectively and professionally across all levels from staff to senior management

• Proficiency in basic Microsoft Office applications Word, PowerPoint, Outlook, Excel and Internet Explorer are essential and the ability to master navigation of internal applications