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Job Description
About Brookwood:
Brookwood Financial Partners, LLC (“Brookwood”) is a Massachusetts-based private equity real estate investment firm that invests in “value-add” commercial real estate properties and related operating businesses. Since its founding in 1993, Brookwood has consistently employed an innovative and contrarian investment approach to generate attractive risk-adjusted returns for its investor clients. Brookwood has invested over $1.9 billion of equity to acquire a portfolio of more than 203 commercial real estate properties, seven operating companies, and over 435 gas stations and convenience stores. With a $4.9 billion historical portfolio spanning multiple asset classes, geographical markets, and industries across the U.S., Brookwood is one of the most innovative private equity firms in the US. Notably, Brookwood was one of the few private equity firms in the United States that sold its entire legacy real estate portfolio before the Great Financial Crisis of 2008. Furthermore, in 2015, Brookwood founded and established Yesway, an award-winning convenience store operator with 435 stores across nine states in the Midwest and Southwest. Interests in Brookwood’s private placements are offered through its broker-dealer subsidiary, Brookwood Securities Partners, LLC (“Securities”).
The Position:
Brookwood, a dynamic and fast-paced organization, is seeking a motivated and detail-oriented Corporate Legal Administrator to join our team. In this role, you will be responsible for maintaining corporate governance documentation and ensuring the regulatory integrity of our broker-dealer’s books and records. This position reports directly to our Associate General Counsel and Chief Compliance Officer.
Primary Responsibilities:
Corporate:
- Manage corporate governance for multiple entities, including company formation, dissolution, maintaining corporate books, and drafting and filing company resolutions and annual consents;
- Open bank accounts for affiliated entities and respond to Know Your Customer questions;
- Prepare and file regulatory filings, such as those required by the Commodity Futures Trading Commission and under the Corporate Transparency Act;
- Oversee the procedures established to ensure the integrity of the retention, storage and retrieval of all legal documents; and
- Provide administrative support and participate in special projects, as required from time to time.
Broker Dealer:
- Ensure that procedures for broker-dealer books and records are maintained in compliance with SEC, FINRA, and other regulatory requirements.
- Ensure accurate and timely recording of all transactions and operational data;
- Prepare and file broker-dealer filings on FINRA’s Central Registration Depository; and
- Prepare various regular annual meeting packages and monitor continuing education compliance; and
- Maintain compliance calendar.
Desired Skills, Experience, and Education:
- Bachelor's Degree;
- 5+ years of relevant experience with a focus on corporate, broker-dealer books and records, regulatory compliance, or financial services
- Knowledge of U.S. corporate law in general and understanding of SEC, FINRA and other regulatory requirements for broker dealers;
- Proficient in MS office applications – Outlook, Word, Excel, PowerPoint;
- Outstanding interpersonal, verbal and written communication skills;
- Ability to work both independently and as part of a cross-functional team with minimal supervision in fast paced environment and remain flexible and adaptable to rapidly changing priorities and ability to stay focused;
- Excellent organizational skills;
- High level of confidentiality and discretion in handling of legal matters;
- Self-starter who drives individual projects and takes ownership of outcomes;
- Notary Public preferred, but not required
Compensation and Benefits:
- Compensation will include a base salary, full benefits, and an annual discretionary performance-based bonus. The actual pay will be based on experience and performance.
Other
FLSA Status: TBD
Position type: Full-Time
EEO Code: Administrative
