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Assistant Vice President, Compliance

Location: Chicago

Business Summary

Brookfield Asset Management Inc. is a leading global alternative asset manager focused on property, renewable energy, infrastructure and private equity, with over $250 billion of assets under management.

Based in Toronto and New York, we have over a 100 year history as an owner and operator of real assets, offering a range of public and private investment products and services which leverage our expertise and experience. We have more than 700 investment professionals and 55,000 operating employees working in 30 countries around the world. Brookfield is publicly listed on the NYSE, TSX and Euronext Amsterdam.

Position Summary
The Assistant Vice President, Compliance is expected to be a key contributor on a collaborative team with respect to the administration of the policies and procedures for registered investment companies and advisers within the Public Securities Group of Brookfield Asset Management.

  • Dependably represent the Compliance department by projecting integrity, honesty, and competency while effectively communicating with Chicago stakeholders
  • Serve as an experienced and reliable compliance resource for Chicago employees
  • Effectively communicate and escalate Chicago compliance matters to senior Compliance staff as appropriate
  • Contribute to the Compliance team’s mandate of analyzing, implementing and monitoring compliance with policies and procedures of the registered investment companies and the registered investment adviser, with a primary focus on equity strategies
  • Conduct and design tests of compliance policies and procedures pursuant to Investment Adviser’s Act Rule 206(4)-7 and Investment Company Act Rule 38(a)-1, and Canadian securities regulations
  • Provide input during the development and review of compliance processes, policies and procedures in order to ensure that the firm has appropriate internal controls
  • Monitor client portfolio trading activity against investment restrictions and other contractual requirements
  • Oversee third party vendor relationships, including due diligence
  • Participate in various firm working groups, such as GIPs, Proxy and CSA/Soft Dollar
  • Summarize and prepare test results and other reports for various stakeholders including funds Board, audit committees, and clients
  • Prepare and submit regulatory filings for corporate entities and funds
  • Maintain information barriers and control the flow of information to comply with applicable securities laws, firm policies and procedures, and industry best practices
  • Review marketing materials

Qualifications & Requirements
The successful candidate will possess the following:

  • Demonstrated ability to effectively communicate across a dynamic and complex organization
  • Efficient time management and self-discipline while operating in a  highly autonomous environment
  • Bachelor’s degree required, Master's degree a plus
  • 5+ year’s compliance experience in the Investment Management Industry with a strong background in the Investment Advisers Act of 1940 as well as the Investment Company Act of 1940
  • Demonstrated ability to analyze regulatory and compliance program requirements
  • Strong change management mindset – focus on identifying potential risk areas and improving processes to mitigate those potential risks
  • Organized, thorough, and detail oriented
  • Basic knowledge of ERISA and Canadian securities regulations including national instruments investment funds and conflicts of interests is a plus
  • Experience with third party portfolio surveillance systems, such as EzeCompliance, is a plus
  • Experience reviewing marketing materials is a plus
We provide a competitive compensation package and benefits plan in addition to offering challenging career development opportunities. This position would be suitable for those candidates who meet the role qualifications and who thrive in a performance-driven environment that emphasizes employee leadership and accountability for delivering results.