Director of Compliance in El Segundo, California at Griffin Capital Company

Job Location: El Segundo, CA

About the Company

Griffin Capital Company is a leading full-service real estate investment management firm with a 30-year track record of leadership, innovation, and disciplined execution. Since its founding in 1995, the firm has owned, managed, sponsored, or co-sponsored approximately $24.5 billion in assets across a wide range of real estate sectors and investment vehicle structures. Griffin Capital remains committed to creating value through thematic investment strategies and delivering thoughtfully developed housing solutions that benefit both communities and capital partners.

Griffin Capital’s investment team is exclusively focused on the rental housing segment of the market, with strategies targeting multifamily, build-to-rent (“BTR”), and student housing investments. The firm’s rental housing portfolio includes 41 institutional-quality communities, comprising over 13,667 rental housing units and 693 student housing beds, representing a total project value exceeding $4.4 billion.

Position Summary

Owns and continuously improves the firm's compliance program, including policy development, risk assessment, monitoring, testing, training, AI governance, and internal process auditing required to meet applicable SEC (including Investment Advisers Act requirements if/when SEC-registered), FINRA, and selling group requirements. Serves as the firm's senior compliance subject-matter expert and primary point of contact for regulatory examinations and investor due diligence reviews. Partners closely with the Chief Legal Officer, SVP of Fund Formation & Due Diligence, Investor Relations, Finance/Accounting, Marketing, Sales, and IT.

Duties and Responsibilities

• Own and conduct ongoing communication supervision (email, messaging and social media, as applicable), including review queues, evidence capture, escalation, and retention in the firm’s archive and applicable reporting to third-party managing broker dealer.
• Lead the firm's response to regulatory examinations and third-party due diligence reviews, including directing document production, managing response timelines, drafting narratives, and coordinating across departments. Escalate substantive legal interpretations and enforcement-related matters to the Chief Legal Officer.
• Manage all onboarding/offboarding compliance requirements, including Form U4/U5 processing (if applicable), required attestations and acknowledgements, access-person designation, and required disclosures/training.
• Design and execute the annual compliance testing calendar, including advertising/communications, gifts & entertainment, outside business activities, political contributions, personal trading, best execution oversight, and vendor due diligence. Document findings, track remediation to closure, and report results to senior leadership and the Chief Legal Officer.
• Serve as the compliance approver for all marketing materials, investor presentations, websites, and external communications, ensuring compliance with applicable requirements (including the SEC Marketing Rule where applicable) and internal policies. Maintain the review and approval workflow, require appropriate disclosures, and retain evidence of all reviews.
• Maintain required books and records, including compliance logs, testing evidence, approvals, certifications, and retention schedules in coordination with Legal/Operations/IT.
• Own the annual compliance review, including conducting the firm-wide risk assessment, updating policies and procedures, gathering and organizing evidence, and presenting findings and recommendations to senior leadership and the Chief Legal Officer for approval.
• Partner with Investor Operations on investor onboarding compliance workflows (e.g., KYC/AML coordination with third-party providers where applicable), sanctions/OFAC screening processes, and escalation protocols.
• Serve as a day-to-day administrator for compliance tools and vendors (e.g., archiving/surveillance, learning/CE platforms, compliance tracking), including user access, workflow updates, and document retention configuration in partnership with IT.
• Develop and maintain the firm's AI governance and acceptable-use framework, including policies governing employee use of generative AI tools, vendor AI risk assessment protocols, data privacy and confidentiality safeguards, and ongoing monitoring of AI-related regulatory developments (SEC, FINRA, and state-level) that may affect the firm's operations or investor-facing activities.
• Design, implement, and continuously enhance the firm's compliance training curriculum, including content development, delivery scheduling, completion tracking, and effectiveness assessment. Oversee all managing broker-dealer and FINRA continuing education requirements for licensed employees.
• Conduct periodic audits of internal business processes, including travel and entertainment expenditures, procurement and vendor selection, and other operational workflows to ensure compliance with firm policies, regulatory expectations, and internal controls. Identify gaps, recommend enhancements, and track remediation in coordination with Finance/Accounting and Operations.
• Determine which financial industry rules, requirements and regulations are applicable to the Company, monitor any changes thereto and confirm Company compliance on an ongoing basis.
• Maintain the firm's ongoing readiness for SEC registration/re-registration and FINRA supervisory expectations, including ownership of policies/procedures updates, required filings (Form ADV, FINRA registrations), disclosure maintenance, and regulatory evidence files. Coordinate with the Chief Legal Officer on registration strategy and material regulatory changes.

Qualifications and Skills Requirements

• Relevant Work Experience – 8+ years of progressive experience in investment management compliance (RIA and/or broker-dealer), or comparable regulatory/controls experience within financial services. Direct experience with SEC-registered investment advisers and FINRA member firms strongly preferred. Experience with real estate fund structures, selling group distribution models, and investor due diligence processes is a plus.
• Education – Bachelor’s degree required (Business, Finance, Accounting, Real Estate, or related field preferred).
• Certifications/Licenses – FINRA Series 7, 24, and 63 required (must be active or obtained within an agreed-upon timeframe). Additional licenses (e.g., Series 66) a plus.
• Computer Skills – Advanced proficiency in Microsoft Office (Excel, Word, PowerPoint). Demonstrated ability to evaluate, implement, and administer compliance technology platforms (e.g., Global Relay/archiving tools, ComplySci/Red Oak, document management systems). Understanding of emerging AI governance frameworks applicable to financial services.

Benefits and Salary

The starting base salary range is $135,000-165,000 annually*, plus annual bonus. Base salary will be determined based on factors including depth and relevance of experience, internal equity, and market conditions.

At Griffin Capital, we strive to offer a comprehensive and competitive benefits package to our employees. To support the physical, financial, and emotional well-being of employees, we offer:

• 100% company paid individual Medical and Dental Insurance.
• 100% company paid individual Life and Long- and Short-Term Disability Insurance.
• 401(k) plan with up to 4% matching and full vesting.
• Flexible time off (FTO)
• A yearly Birthday Holiday and paid time off for community service.
• State of the art onsite gym.
• Company funded Lifestyle Spending Account.
• Access to other health and tax-advantaged benefits.

Availability of benefits may be subject to location & employment type and may have certain eligibility requirements. Griffin reserves the right to alter these benefits in whole or in part at any time without advance notice.

In addition to the above-listed benefits, the firm also offers hybrid work options specific to roles, an employee-led professional development program, and community involvement through its Griffin Care and Community Committee.

*Please note that the compensation information provided is a good faith estimate for this position only. Griffin Capital takes into consideration a candidate’s education, training, and experience, as well as the position’s work location, external market and internal value, including seniority and merit systems, and internal pay alignment when determining the salary level for potential new employees.

Equal Employment Opportunity at Griffin

Griffin Capital Company, LLC (“Company”) is an equal opportunity employer, and all qualified applicants will receive consideration for employment without regard to age (40 and over), ancestry, color, religious creed (including religious dress and grooming practices), family and medical care leave or the denial of family and medical care leave, mental or physical disability (including HIV and AIDS), marital status, domestic partner status, medical condition (including cancer and genetic characteristics), genetic information, military and veteran status, political affiliation, national origin (including language use restrictions), citizenship, race, sex (including pregnancy, childbirth, breastfeeding and medical conditions related to pregnancy, childbirth or breastfeeding), gender, gender identity, and gender expression, sexual orientation, or any other basis protected by applicable federal, state or local law, rule, ordinance or regulation.

We will consider qualified applicants with criminal histories in a manner consistent with the requirements of the Los Angeles Fair Chance Ordinance and the California Fair Chance Act and consistent with other similar and / or applicable laws in other areas.

We also afford equal employment opportunities to qualified individuals with a disability. For this reason, Griffin Capital will make reasonable accommodations for the known physical or mental limitations of an otherwise qualified individual with a disability who is an applicant consistent with its legal obligations and in accordance with applicable local, state and / or federal law. Any applicant who requires an accommodation in order to perform the essential functions of the job should contact a Human Resources Representative to request the opportunity to participate in a timely interactive process.