Compliance Manager

San Francisco, CA, Austin, TX or New York, NY

Job Reference #1842

Our client a credit, PE and BDC asset manager is looking to bring on an experienced compliance professional to join their growing team. This highly visible position will be supporting the credit and BDC business and will be responsible for a variety of compliance responsibilities for the firm.

Key Points

  • Role is open due to the growth and success of the firm 
  • Opportunity to train as a generalist across all areas of compliance under the credit umbrella 
  • Best in class compliance program with a stellar CCO who is eager and excited to mentor 
  • Flexible work from home policy and collegial environment 

Responsibilities

  • Assist with day to day compliance functions including marketing material review and investor reporting review
  • Preparation of annual compliance reports to management company boards
  • Provide oversight for the firm’s web-based compliance portal, monitor employee attestations and conflicts of interest, and pre-clearance and, monitor personal trading, gifts and entertainment, and political contributions
  • Consistently review firm trading, update the Restricted List as necessary, and assist with deal research and MNPI  
  • Coordinate regular compliance testing, audits, and annual reviews 
  • Prepare and submit regulatory filings 
  • Provide oversight and management of outsource compliance consultants
  • Assist with the onboarding of new hires and compliance trainings
  • Maintain the firm’s compliance calendar, assist with preparing and monitoring various regulatory filings and complete KYC and basic information requests from third parties
  • Provide other ad hoc compliance support as needed, and liaise with various groups within the firm (including Finance and Marketing/Investor Relations teams)

Qualifications

  • 7 – 10 years of relevant experience working in a compliance role within the investment management industry; JD preferred 
  • Credit or BDC experience required 
  • Sound judgment and discretion in dealing with highly confidential business matters; acute attention to detail and organizational skills. 
  • Integrity and character are crucial to this hire as the successful candidate will be processing personal data and other highly confidential information; must be a true team player, motivated, self-driven and proactive

Compensation: $175k-$250k plus Bonus