Cimgroup1mo ago

Sr. Analyst, Compliance

PhoenixFull Timesenior

Finance & AccountingLegal & ComplianceCompliance AnalystCompliance

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Overview

ABOUT CIM GROUP: CIM is a community-focused real estate and infrastructure owner, operator, lender, and developer. Our team of experts works together to identify and create value in real assets,

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Finance & AccountingLegal & ComplianceCompliance AnalystCompliance

ABOUT CIM GROUP:

CIM is a community-focused real estate and infrastructure owner, operator, lender, and developer. Our team of experts works together to identify and create value in real assets, benefiting the communities in which we invest. Back in 1994, our three founders focused on projects in Southern California neighborhoods. Today, we are a diverse team of 900+ employees with projects across the Americas. Our projects have delivered jobs; created comfortable places to live, work, and relax; and provided necessary and sustainable infrastructure. Our focus on enhancing communities is unwavering, and we strive to make an even greater impact in the years to come. Join us and make an impact today!

The Senior Compliance Analyst will work closely with the 1st Vice President of Compliance to develop, implement, oversee and measure the compliance programs that focus on CIM’s communications with the public. The ideal candidate will be well versed in SEC and FINRA advertising regulations, be able to explain complex regulatory issues to business partners and find creative solutions to aid in successful and compliant communications with public. In addition, you’ll have regular opportunities to collaborate with different teams and contribute to a variety of projects across the compliance department.

Review of all forms of communication including but not limited to print, email, public appearances, websites, and social media.

Facilitate communication-related filings with FINRA, the SEC, and various states as required.

Facilitate compliance-related company procedures for all communications with the public.

Support the development and delivery of compliance training to new hires and as part of the broker-dealer’s firm element and annual compliance program.

Assist with audits of controls, evaluation of procedural effectiveness and implementation of policy revisions in response to regulatory changes.

Provide general compliance support related to all aspects of the broker-dealer’s regulatory obligations.

Maintenance of advertising review systems and advertising books and records.

Other duties assigned.

Bachelor’s degree or equivalent industry and work experience.

Series 7 and 24 FINRA licenses required.

5+ years compliance experience in an investment products or asset management organization.

Knowledge of and effective application of FINRA and SEC rules regarding investment product marketing.

Familiarity with general investment adviser and broker-dealer compliance, ’40 Act funds, private fund offerings and non-trade REITs is a plus.

Proficient in understanding fund offering documents and legal documents.

You’re a thoughtful problem‑solver with a strong analytical lens and a service‑first mindset, known for turning complexity into practical, risk‑aligned solutions. You roll up your sleeves, thrive in fast‑moving environments, and balance regulatory rigor with real‑world business needs. Organized, adaptable, and collaborative by nature, you build trust quickly and get things done alongside partners across teams, regions, and perspectives.