Lead Regulatory Attorney

  • Brookfield Asset Management, Inc.
  • Toronto, Ontario, Canada
  • Nov 01, 2023
Full time Lawyer (In House Counsel)

Job Description

Brookfield Place - 181 Bay Street


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


The Regulatory Lead will work closely with all BIG constituencies, including Investments, Legal & Regulatory, Finance & Operations, Risk, and Marketing constituencies, with a focus on implementation and administration of the Regulatory Compliance Program across BIG’s global business activities. Based in New York, the position offers an excellent opportunity in a dynamic environment for a senior-level attorney with a “hands-on” approach to become an integral part of BIG as well as BAM’s broader Legal & Regulatory Group.


To qualify, candidates must:


  • be called to the Bar in the United States with 10+ years of relevant legal experience;
  • possess knowledge of laws, rules and regulations applicable to investment advisors and private funds, in particular the Investment Advisers Act of 1940, related securities laws and applicable fiduciary requirements;
  • be well organized, thoughtful, attentive to detail, analytical, self-motivated, pro-active, and solutions-oriented;
  • have strong written and verbal communication skills, strong interpersonal skills and the ability to foster relationships with different constituencies and their personnel;
  • be comfortable working independently and as part of a team;
  • have asset management legal & regulatory experience, with a preference for law firm and in-house experience advising global asset management firms focused on managing private funds and related investment vehicles; and
  • have willingness to travel (in particular to BIG’s Toronto office).


The position will be responsible for and focus on the following:


Implementation and administration of BAM’s Regulatory Compliance Program within BIG, including advising on and facilitation of:


  • investments and related business activities, with a focus on ensuring compliance with regulatory requirements and adherence to internal protocols, including appropriate resolution of conflicts of interest considerations and other fiduciary matters;
  • regulatory monitoring activities with respect to business and employee activities;
  • employee training and awareness communications; and
  • regulatory reporting and filing requirements.


The Regulatory Lead will also be responsible for close coordination with BAM’s Chief Compliance Officer and BAM’s broader Legal & Regulatory group to ensure efficient development and application of BAM’s Regulatory Compliance Program, including (among others) facilitation of the design and evolution of the Regulatory Compliance Program in connection with:


  • new business needs, initiatives and developments;
  • new regulatory activities and developments;
  • internal positions and interpretations of protocols and regulatory requirements;
  • maintaining a strong regulatory compliance culture within BIG; and
  • cooperation with and response to governmental and regulatory inquiries and examinations.


Brookfield is committed to maintaining a Positive Work Environment that is safe and respectful; our shared success depends on it. Accordingly, we do not tolerate workplace discrimination, violence or harassment.


Brookfield is committed to creating an accessible and inclusive organization. We are committed to providing barrier-free and accessible employment practices in compliance with the Accessibility for Ontarians with Disabilities Act. Should you require a Human Rights Code-protected accommodation through any stage of the recruitment process, please make them known when contacted and we will work with you to meet your needs.