Chief Compliance Officer, Asset Management, Real Estate
Ameriprise Financial
Location: Houston, TX
Job Description
The Chief Compliance Officer (“CCO) is responsible for the overall development, oversight and administration of the compliance function and the managing and directing of the investment adviser compliance program for Lionstone Investments. Lionstone Investments is a Houston-based SEC-registered Investment Adviser that is currently primarily focused on the management of real estate investments. The CCO will have overall responsibilities for the Lionstone The successful candidate will join and be supported by a large global asset management compliance organization which is part of Ameriprise Financials’ General Counsel’s Organization (“GCO”).
The candidate should have compliance/legal/audit experience in the financial services industry and dealing with a complex regulatory scheme, with a focus on investment adviser regulations. Further, the ideal candidate will have experience with real estate investments and private funds.
Responsibilities
Maintain a strong compliance program tailored to the Lionstone Investments’ advisory business and investment products.
Work closely with Lionstone business colleagues to evolve the program to meet changing regulatory requirements and expectations and/or Lionstone Investment’ business developments.
Conduct ongoing reviews and testing as well as an annual review of the compliance program. Identify opportunities to enhance the firm’s compliance program and drive solutions to implement. Research and appropriately escalate issues.
Assist business partners in assessing and remediating compliance issues in a timely manner.
Identify potential conflicts of interest and other compliance risks, and advise senior management/business partners regarding effectively addressing such potential conflicts and risks.
Prepare and/or review various regulatory filings and other compliance reporting for Lionstone Investments (e.g., Form ADV).
Collaborate with central training function to develop awareness, training and continuous education programs as it relates to policies and regulatory requirements applicable to Lionstone Investments.
Required Qualifications
Bachelor's degree or equivalent
10 years of compliance/legal/audit experience in financial services, and dealing with a complex regulatory environment, with a focus on investment adviser regulations.
Demonstrated compliance experience with real estate investments and private funds.
Direct experience leading elements of a financial services company compliance program.
Strong understanding of investment advisor compliance.
Leadership experience and the ability to influence decisions.
Excellent oral and written communications skills.
Ability to lead and influence effectively across a matrix organization.
About Our Company
Lionstone Investments, a subsidiary of Ameriprise Financial, is a pioneering real estate investment firm that conceptualizes, analyzes, and executes national real estate investment strategies. By using proprietary algorithms and advanced data-analytics, Lionstone Investments can understand the changing ways people in America want to live and work. In addition to our competitive compensation package, we embrace an inclusive and collaborative culture that celebrates the unique qualities and rewards the contributions of our talented, passionate employees.
Ameriprise Financial is an equal opportunity employer. We consider all qualified applicants without regard to race, color, religion, sex, national origin, genetic information, age, sexual orientation, citizenship, gender identity, disability, veteran status, marital status, family status or any other basis prohibited by law.