Teams at Griffin Capital Company, LLC

Lead and enhance the firms compliance program for SEC, FINRA, and broker-dealer requirements. Oversee communications supervision, regulatory examinations, onboarding/offboarding, annual testing, marketing approvals, records retention, AI governance, compliance training, vendor/tool administration, internal audits, and firm-wide risk assessment. Coordinate with Legal, Finance, Investor Relations, IT, and senior leadership and prepare filings and evidence to maintain regulatory readiness.

Serve as an internal investment specialist co-owning a territory with an SVP to build advisor relationships, conduct inbound/outbound calls, host virtual meetings, qualify and advance advisor opportunities across DST, QOZ, and developmental real estate strategies, maintain CRM and territory cadence, prepare materials and SVPs for field visits, and support compliance and client service as needed.