Description:
A Financial Services Company (the “Firm”) is a premier asset management firm specializing in private credit markets across various strategies including, direct lending, asset-based lending, specialty finance, opportunistic and structured credit, real estate, and equity. The Firm is seeking an Associate of Compliance.The Associate of Compliance will assist the Chief Compliance Officer in implementing and maintaining the Firm's strategy, programs, policies, and practices with regards to regulatory compliance and risk mitigation for its registered investment advisor entities. The Firm is seeking a candidate that will bring valuable expertise and be able to effectively communicate with internal and external stakeholders on complex compliance matters in a direct and simple manner.
The Associate of Compliance must be confident and proactive, with the versatility of assisting and managing micro and macro compliance activities and actions. The Associate of Compliance will be charged with supporting multiple areas of the business as well as assisting the CCO with further developing and maintaining the Firm's compliance program as the Firm continues to grow and expand.
Responsibilities:
- Assist with further developing and managing the Firm's risk management program, including in-depth analysis of procedures within various departments to identify process improvements in terms of efficiency (including systems recommendations) and risk mitigation.
- Assist with updating and maintain the compliance programs for the Firm's registered investment advisors and our business development companies.
- Serve as a compliance liaison with the legal department relative to other activities that impact the Firm (contracts, service provider agreements/updates, onboarding new technology platforms, licensing agreements) as well as fund offering materials and registrations.
- Assist all regulatory reporting, including, but not limited to Form ADV, Form PF, US and Non-US regulatory filings associated with fund offerings.
- Manage outsourced third-party compliance relationships (vendors, consultants, etc.).
- Foster a compliance culture for efficiently and effectively managing compliance throughout the organization.
Requirements:
- 1-4+ years of related experience (within the compliance function of a SEC-registered investment adviser or with a law firm specializing in the investment advisory industry).
- Knowledge of sophisticated investment offerings across multiple jurisdictions is a plus, ideally with a focus on private credit and/or exposure to private equity style funds, BDCs, real estate and other emerging products.
