Credit Fund

Compliance Officer (Title TBD), New York, NY

Compliance Officer (Official Title TBD) (New York, NY): Our client, a successful credit fund with over $20B in AUM, is seeking a Compliance Officer to join their New York office. This person will be reporting to the Deputy CCO, assisting in the managing of the firm’s global compliance program and the day-to-day compliance matters.  This is a five-person team where this person will be the third most senior person on the team working closely with the Deputy CCO and CCO/COO.  This is a great opportunity for someone who has the ability to work effectively under pressure, in a fast-paced environment, who’s self-motivated, eager to learn and has keen desire to show initiative.


Key Points:

·         Unique young company culture with intelligent people who have strong work ethic and highly motivated


·         Provide written reports detailing the status of monitoring undertaken, any issues identified and recommended remedial actions; ensure that the monitoring/testing program is carried out on a timely basis

·         Assist in the managing of the global compliance program of the firm internationally; assist in the planning and implementing changes to monitoring and changes across the wider business to ensure that the firm continues to meet the requirements of new regulations

·         Work closely with Investor Relations team to ensure compliance with all relevant statutes and regulations as well as marketing review; and assist in the development and implementation of compliance policies and frameworks

·         Produce employee training materials and assist in conducting of training sessions; work closely with the trading/operations and investment team on maintenance of the restricted list, resolutions of trading issues and portfolio investment guidelines

·         Facilitate wall crossings across the Information Barrier from initial request to the resumption of normal activities and maintenance and administration of associated systems; manage the firm’s compliance calendar; and project management of periodic filings, such as Form PF, Form ADV, Treasury reporting and Annex IV


·         6+ years of relevant experience in Private Funds/ Asset Management Compliance focused on Credit/Fixed Income; Bachelors degree is required and MBA or JD is preferred

·         Knowledge of trading strategies across a wide range of products and working knowledge of alternative investments; experience in surveillance and regulatory reporting and a solid understanding of SEC rules and regulations

·         Demonstrable ability to balance a pragmatic, commercial approach to compliance; must be able to work independently and also as part of a dynamic team, with an eagerness to take on new challenges and responsibilities

·         Excellent interpersonal and communication skills both oral and written; exceptional organizational and multitasking ability with strong time management skills

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