Assistant Vice President of Compliance
Confidential
Assistant Vice President of Compliance
About the Company
Reputable provider of flexible financing solutions for middle market companies
Industry
Capital Markets
Type
Privately Held
Founded
2004
Employees
201-500
Specialties
- senior and junior debt
- equity co-investments
- unitranche financings
- second lien or last-out loans
- asset based loans
- cash flow and enterprise value-based loans
- mezzanine debt
- acquisition facilities
- growth capital
- club and syndicated investments
- private debt
- direct lending
- private credit
- business development company
- opportunistic private credit
- senior debt
- lender
- enterprise value-based loans
- middle market
- lower middle market
- alternative credit
- wealth management solutions
- software & technology lending
- independent sponsor
- alternative credit solutions
- venture debt
- and middle market clo
Business Classifications
- B2B
- Marketplace
About the Role
The Company is in search of an experienced and strategic Assistant Vice President of Compliance to play a key role in the implementation and oversight of its global regulatory compliance program. The successful candidate will work closely with the Head of Compliance & Operational Risk and the Chief Compliance Officer to ensure that the firm's compliance and risk mitigation strategies, programs, and policies are in line with the requirements for its registered investment advisor and broker-dealer entities. This pivotal position demands a professional with a proactive approach, capable of managing both micro and macro compliance activities, and who can effectively communicate complex compliance matters to internal and external stakeholders. The role also involves fostering a culture of high ethical standards and compliance, as well as managing outsourced third-party compliance relationships. Applicants for the Assistant Vice President of Compliance role at the company should have a minimum of 7 years' of related experience within the compliance function of a SEC-registered investment adviser and FINRA-registered firm. A FINRA Series 7 and/or Series 24 is preferred. The ideal candidate will have a strong background in sophisticated investment offerings across multiple jurisdictions, with a focus on private credit and exposure to various investment products such as private equity style funds, BDCs, and real estate investment trusts. Responsibilities include the further development and management of the firm's risk management program, identifying areas for compliance program enhancement, and maintaining a proactive presence with the management team. The role requires a professional who can anticipate regulatory impacts, manage conflicts of interest, and ensure that compliance supports the firm's strategic objectives.
Hiring Manager Title
Chief Compliance Officer
Functions
- Legal
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