Senior Compliance Manager
Full-time
JW Michaels & Co.
A well-regarded alternative investment management firm is seeking a Senior Compliance Officer to join their dynamic compliance team.
The candidate must have strong experience with the Investment Company Act of 1940, Registered Funds and Interval Funds,
RESPONSIBILITIES:
- Investment Compliance. Conducting compliance oversight of credit investment activities and providing guidance regarding applicable policies, procedures and laws.
- Compliance Policies. Administering compliance policies, including drafting new and updating existing policies.
- Code of Ethics
- Training. Providing compliance-related training for all levels of employees, appropriate to their respective roles and responsibilities
- Marketing and Advertising Review
- Regulatory Filings and Exams
- Board Reporting. Assisting the CCO with quarterly and annual reporting to the boards of firm-managed registered investment companies
- Regulatory requests/exams. Supporting the CCO in successfully managing all periodic and any special regulatory examinations of OFS and registered investment companies
REQUIREMENTS:
- 10+ years’ experience as a compliance professional at an SEC-registered investment manager and/or staff member at the Securities and Exchange Commission
- 3+ years’ experience in investment company compliance
- Credit investment (e.g., CLOs, BSLs, CMBS, direct lending) experience
Vacancy posted 1 hour ago
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