Performing forensic testing and surveillance activities to detect and resolve potential compliance issues; Assisting with regulatory examinations and internal audits Monitoring private fund and employee personal trading; Advising employees regarding company policies and procedures; Assisting in the preparation of regulatory filings; Maintaining internal books and records; Assisting in the identification of potential conflicts of interest and compliance risks; Leading training sessions related to... more details
Overview About Bayview Asset Management, LLC Bayview Asset Management, LLC (“Bayview”) is an investment management firm focused on investments in mortgage and consumer credit, including whole loans, asset backed securities, mortgage servicing rights, and other credit-related assets. Initially founded in 1993 and now with over 1,550 employees, Bayview’s corporate headquarters is uniquely situated in the beautiful community of Coral Gables, Florida, located near the shores of Biscayne Bay and minutes from Miami Beach. The firm has additional asset management offices in New York, London, and Geneva, and loan servicing and origination affiliates in seven U.S. states and Milan, Italy. As of February 29, 2024, Bayview managed approximately $18 billion in assets under management. POSTIION SUMMARY: Bayview is seeking a Compliance Analyst/Associate – ESG (Environmental, Social, and Governance) Specialist to join its Compliance team and support the firm’s investment adviser compliance program. The Compliance Associate/Analyst – ESG Specialist reports to the Chief Compliance Officer and performs various activities as part of Bayview’s investment adviser compliance program. This position will also play a critical role in promoting the organization’s goals with respect to relevant ESG standards, regulations, and best practices, The position requires the ability to understand securities laws and complex business transactions. The ideal candidate will have a strong work ethic, have the ability to work independently, possess excellent organizational skills and attention to detail, and have prior experience at a SEC-registered investment adviser or investment adviser consultant. The successful candidate must be able to meet tight deadlines, multi-task, and demonstrate strong communication skills. Successful candidates will be energetic, self-motivated, and team-oriented individuals who thrive on challenges in a fast-paced, dynamic environment. including JOB DUTIES AND RESPONSIBILITIES Performing forensic testing and surveillance activities to detect and resolve potential compliance issues; Assisting with regulatory examinations and internal audits Monitoring private fund and employee personal trading; Advising employees regarding company policies and procedures; Assisting in the preparation of regulatory filings; Maintaining internal books and records; Assisting in the identification of potential conflicts of interest and compliance risks; Leading training sessions related to the Code of Ethics; and Staying updated on securities laws and regulations. ESG Stakeholder Engagement: Engaging with internal and external ESG stakeholders, including investors, to understand their ESG expectations and communicate the organization's efforts and performance. ESG Reporting and Disclosure: Preparing and coordinating the organization's ESG reporting and disclosure activities, including sustainability reports, and responses to investor inquiries. ESG Developments Monitoring: Monitoring regulatory developments, industry standards, and best practices related to ESG. Staying informed about emerging trends and innovations in ESG practices, and participate in industry forums, working groups, and initiatives. ESG Policy Development: Developing and updating ESG policies and procedures to align with regulatory requirements and industry standards, considering the organization's specific business activities and risk profile. ESG Risk Assessment: Conducting ESG risk assessments to identify potential areas for improvement and of reputational risk, and develop mitigation strategies in collaboration with relevant stakeholders. ESG Data Management: Overseeing the collection, analysis, and reporting of ESG-related data, ensuring accuracy, completeness, and transparency in disclosures to stakeholders. ESG Training and Awareness: Providing training and awareness programs to employees on ESG topics, including relevant laws, regulations, and company policies. Continuous ESG Improvement: Identifying opportunities for enhancing the organization's ESG performance and reputation, and collaborate with cross-functional teams to implement improvements. SKILLS/KNOWLEDGE/ABILITIES Professional certifications in ESG, compliance, or related fields (e.g., CFA Institute Certificate in ESG Investing, Certified Compliance & Ethics Professional) are highly desirable. Excellent analytical, communication, and stakeholder management skills, with the ability to interact effectively with diverse audiences at all levels of the organization. Commitment to promoting ESG policies and practices and fostering a culture of respect and collaboration across the organization. EDUCATION AND EXPERIENCE Bachelor’s degree required. CERTIFICATIONS, LICENSES, AND/OR REGISTRATION No certification, license, and/or registration is required LOCATION & COMPENSATION This role will be based in either Bayview’s NYC or Coral Gables, FL offices. We have existing team members in both locations. Base compensation is expected to be $140-160k with the opportunity for incentive compensation including bonus compensation. PHYSICAL DEMANDS AND WORK ENVIRONMENT The physical demands described here are representative of those that must be met by an employee to successfully perform the essential functions of this job. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions. While performing the duties of this job, the employee is regularly required to sit and use hands to handle, touch or feel objects, tools, or controls. The employee frequently is required to talk and hear. The noise level in the work environment is usually moderate. The employee is occasionally required to stand; walk; reach with hands and arms. The employee is rarely required to stoop, kneel, crouch, or crawl. The employee must regularly lift and/or move up to 10 pounds. Specific vision abilities required by this job include close vision, color vision, and the ability to adjust focus. EEOC Bayview is an Equal Employment Opportunity employer. All aspects of consideration for employment and employment with the Company are governed on the basis of merit, competence and qualifications without regard to race, color, religion, sex, national origin, age, disability, veteran status, sexual orientation, or any other category protected by federal, state, or local law.
