Our client, a leading investment firm with a successful credit platform, is seeking a Senior Compliance Officer to join its New York office. This is an impactful role reporting directly to the Chief Compliance Officer for the credit business, offering high visibility to senior leadership and meaningful influence across the compliance program. The role is well suited for a mature, confident compliance professional who can operate independently, partner closely with the business, and help mentor a junior team member
Key Points:
- Senior role directly reporting into the Credit CCO and regular interaction with senior management.
- Opportunity to step into a clear number two seat within compliance and help develop a junior compliance professional.
- Broad exposure across all areas of compliance within a growing and actively deploying credit platform.
- Highly collaborative and collegial culture with a credit team that values compliance as a strategic partner.
- Fast-paced environment offering strong learning, mentorship, and professional growth.
Responsibilities:
- Perform compliance testing across the firm’s program, including development of compliance and operational risk matrices.
- Research and interpret securities laws to update compliance manuals, policies, and procedures.
- Assist with trade surveillance, review of marketing materials, and preparation of board materials.
- Partner with the team to prepare and support regulatory filings.
- Oversee new employee compliance training and manage communications with third-party service providers.
- Organize and maintain credit legal documentation, including IMAs, JVs, LPAs, and related agreements.
- Train and mentor a junior compliance analyst in coordination with the CCO.
- Represent the Compliance department in interactions with business partners and internal stakeholders.
Qualifications:
- 4 to 8 years of relevant regulatory compliance experience within financial services, ideally with exposure to a credit platform.
- Experience with the Investment Company Act of 1940 is preferred, though the platform includes private and public vehicles as well as SMAs.
- Hands-on experience with compliance testing and regulatory filings.
- Strong ability to work independently while collaborating effectively within a team environment.
- Comfortable operating in a fast-paced setting with shifting priorities, strong attention to detail, and excellent organizational skills.
- JD is preferred for writing and policy development strengths, though exceptional non-JD candidates will be considered.
- Experience drafting and maintaining policies and procedures is highly valuable.
Compensation Expectations: $200k-250k base salary + competitive bonus