Our client, a private credit firm with over $10B in AUM and locations in the United States and Europe, is seeking a compliance generalist to support their Florida office. The firm has experienced exceptional asset growth over the last 5 years, and this role is primed for broad exposure to the compliance function at a rapidly growing firm with strong future potential. This role will report to the Deputy Chief Compliance Officer and take responsibility for compliance testing, expert network oversight, and other core components of the compliance program.
Key Points:
- Exciting opportunity in a newly created position
- Highly collaborative team environment with strong connections across all levels
- Gain valuable experience and exposure by regularly interacting with senior leadership
Responsibilities:
- Administer the firm’s daily trading testing program
- Assist in the preparation of regulatory filings to meet U.S. and European regulatory requirements
- Manage the oversight of expert network utilization, including call chaperoning, record-keeping, testing, and reporting
- Oversee compliance with the firm’s policies regarding employee personal trading, conflicts of interest, and MNPI
- Conduct forensic testing, document review, and regular and ad hoc email searches
- Participate in the completion of investor DDQs as appropriate
- Assist in the oversight of KYC resources and participate in completion of KYC requests and account openings/refreshes as needed
- Participate in the preparation of monthly compliance reports and materials
- Prepare for and attend senior team and Committee meetings, and monitor completion of critical action items as appropriate
- Maintain relevant logs and records as needed
Qualifications:
- Bachelor’s degree with 2-4 years of relevant regulatory compliance experience within an SEC-registered investment adviser organization or compliance consultant
- Excellent organizational skills and strong attention to detail
- Strong technical capabilities and an analytical mindset
- Proficient written and verbal communication skills
Compensation Expectations: Up to $160k all-in