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Assistant Vice President, Funds Legal and Regulatory
senior · Risk & Compliance
Location
Brookfield Place New York - 225 Liberty Street, Suite 3501Business - Private Wealth
Brookfield is one of the world's largest alternative asset managers, with a 100+ year heritage of owning and operating assets and businesses that from the backbone of the global economy. Through its broad platform, the firm offers investment strategies across real estate, infrastructure, renewable power and transition, private equity, and credit.
Brookfield's private wealth team extends these capabilities to intermediaries worldwide, partnering with financial advisors to provide institutional-quality investment opportunities and differentiated insights that support long-term objectives.
Brookfield Culture
Brookfield has a unique and dynamic culture. We seek team members who have a long-term focus and whose values align with our Attributes of a Brookfield Leader: Entrepreneurial, Collaborative and Disciplined. Brookfield is committed to the development of our people through challenging work assignments and exposure to diverse businesses.
Job Description
Assistant Vice President, Funds Legal and Regulatory Team
The Firm is seeking an Assistant Vice President to support its Funds Legal and Regulatory Team in New York. The Team provides legal and compliance expertise for funds oriented toward the wealth market, including vehicles registered under regulatory regimes around the world and certain unregistered funds. This role will support regulatory matters affecting Brookfield’s Wealth Vehicles, work with registered investment advisers and business units across the broader Brookfield organization and help advance Brookfield’s continued growth in the wealth marketplace. The candidate will be a key member of the Funds Legal and Regulatory Team and will regularly interact with investment, distribution, finance, fund accounting, client service and operations professionals across Brookfield.
This role is responsible for supporting the legal and regulatory framework for Brookfield’s private wealth fund platform, with a focus on registered and unregistered Wealth Vehicles offered across U.S. and international markets. The Assistant Vice President will help translate regulatory requirements into practical controls, coordinate with internal stakeholders and service providers, and support the ongoing oversight of fund operations, filings, distribution activity, and compliance testing.
Responsibilities:
Assist in developing, drafting, enhancing, implementing, and monitoring compliance with applicable policies and procedures involving both US and internationally domiciled Wealth Vehicles
Conduct ongoing oversight of internal and third-party service providers to the US and internationally domiciled Wealth Vehicles
Assist with the ongoing screening of Brookfield’s network of sales intermediaries for its Wealth Vehicles
Perform ongoing oversight of Anti-Money Laundering controls at various fund service providers in connection with Wealth Vehicles
Conduct in-house reviews to test relevant compliance policies and procedures
Monitor fund trading activity against restricted lists, investment restrictions and other contractual and regulatory requirements, and prepare appropriate reports.
Review marketing materials for regulatory compliance as needed
Assist with the preparation of regulatory filings for Wealth Vehicles
Draft responses to client questionnaires and checklists, and requests for proposals (RFPs) and requests for information (RFIs) related to Wealth Vehicles
The ideal candidate will be intellectually curious, detail-oriented, and comfortable working across legal, compliance, operations, finance, distribution, and client-facing teams. The role requires sound judgment, strong follow-through, and the ability to manage recurring oversight responsibilities while responding effectively to emerging regulatory and business priorities.
Qualifications and Requirements:
Bachelor’s or higher-level degree
3-5 years of compliance- or audit-related experience at an investment adviser, or an equivalent period of paralegal experience within an asset management practice at a top-tier law firm
Serious consideration will be given to attorneys with 3-5 years of relevant experience who are considering transitioning to a compliance role
Experience working in the asset management, capital markets, private equity, securities or financial services industries is preferred
Working knowledge of the Investment Company Act of 1940, the Investment Advisers Act of 1940, the Securities Act of 1933, the Securities Exchange Act of 1934, and related regulatory requirements is a plus
Background in AML Compliance is beneficial
Demonstrated ability to stay current with, and analyze regulatory and compliance program requirements
Strong client orientation with excellent interpersonal and communication skills
Ability to establish priorities, manage multiple assignments, meet competing deadlines, and work effectively in a fast-paced, collaborative environment
Ability to demonstrate efficient time management and self-discipline
Organized, thorough, and detail oriented
Ability to collaborate effectively with legal, compliance, operations, finance, distribution, and business teams across Brookfield on fund, business, and regulatory initiatives
Salary Range: $120,000 - $165,000
Our compensation structure is comprised of a base salary and a short-term incentive program (cash bonus). Cash compensation tends to vary based on geography to account for local market conditions and is set to be market competitive. Compensation decisions are based on a number of factors including relative experience, overall years of experience, industry experience, education and designations.
Brookfield is committed to maintaining a Positive Work Environment that is safe and respectful; our shared success depends on it. We do not tolerate workplace discrimination, violence or harassment. We are proud to be an Equal Opportunity Employer and make employment decisions based on qualifications, merit and business needs, without regard to any characteristic protected by applicable law. Applicant information is collected and handled in accordance with our Applicant Privacy Notice.