The Director of Business Unit Compliance & Risk Manager for Lionstone Investments directs the compliance program for Lionstone which includes the management of the risk control environment, governance, and loss mitigation. This role will also entail active participation in operation risk management activities of Lionstone to better control risks and to align with the Ameriprise and Columbia Threadneedle compliance and risk management protocols.
Direct and monitor Lionstone's (and its parent companies Ameriprise and Columbia Threadneedle) global compliance policies, procedures, and initiatives reporting to Lionstone's Chief Compliance Officer. Collaborate with compliance teams at parent companies (Ameriprise and Columbia Threadneedle) in the maintenance and management of the overall compliance and risk management environment of Ameriprise.
Conduct Risk Assessments and Compliance Reviews across the firm and identify, recommend/implement any needed changes as a result of the assessment. Create and manage firm level conflict of interest log, including monitoring of key controls and coordination Work with Treasury team to oversee/administer controls related to access and the safe-guarding of assets. Assist in the management of internal audit reviews and remediation.
Serve as technical expert regarding compliance best practices, and related laws and regulations impacting the firm, its parent, and the underlying investment portfolios. Monitor industry practices, trends and issues affecting compliance, including amendments to the Exchange Act.
Manage the compliance program on a day to day basis, including support of the Ameriprise Operating Risk model. Oversee the development, review, updates and implementation of firm level policies and procedures, including employee certifications. Ensure compliance with applicable regulatory requirements and professional standards, investor requirements and parent/firm level policies and procedures
Assist in the development of Firm level framework for key Committee structure and develop the relevant charter documentation. May be required to act as secretary on various Committees and ensure complete and timely records of the relevant meetings.
Oversee the maintenance of firm level delegation of authority matrix, perform periodic reviews to ensure compliance, and perform ongoing evaluation of the matrix to ensure the efficiency and effectiveness. Work with internal teams to design and implement online, digital dashboards and checklists to facilitate the adherence to firm and investor/portfolio compliance requirements. Perform the periodic review of dashboards/checklists once implemented.
Collaborate with Lionstone teams (including Capital Formation, Research, Investments, Operations) in the drafting of all external communications (Private Placement Memorandums, Investor Presentations, Capital Term Sheets, Press Releases, Research Materials) to ensure compliance with appropriate regulatory frameworks and to obtain all required internal approvals.
Manage and work with staff on all regulatory filings (Form ADV, Form PF, etc). Review and assure all new business activity comply with bank regulatory provisions.
Bachelors degree or equivalent.
Ten years or more of professional experience, including 5+ years of related experience in a Compliance role.
Broad understanding of internal audits, compliance, and risk control environment and management, preferably in the commercial real estate or financial services industries.
Experience drafting policies and procedures. Ability to write reports, business correspondence, procedure manuals and produce presentation materials when requested.
Experience conducting monitoring and testing
Strong project management skills
Strong reasoning abilities and analytical skills.
Unquestioned integrity and the highest ethical standards
Commitment to excellence
A team orientation, strong ability to collaborate, and collegial mentality
Real estate, investment fund or financial service industry experience preferred.
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.