Compliance Officer

Compliance Officer

New York

The Role

Sixth Street's Compliance team partners with all aspects of Sixth Street to build and maintain a best-in-class compliance program that addresses applicable regulatory requirements and industry best practices. The Compliance Officer will be a key team player in managing, executing, and enhancing the firm's marketing and distribution process. The Compliance Officer will also drive key compliance-related projects and initiatives, including those pertaining to Sixth Street's Global Capital Markets platform, compliance testing, training, regulatory filings, and designing, implementing and advising on policies and procedures.

Core Responsibilities

• Own the marketing material review and approval process for high volumes of marketing materials, due diligence questionnaires, social media, and investor relations materials to ensure compliance with all applicable regulations, including SEC, FINRA and other relevant guidelines
• Utilize deep understanding of the SEC Marketing Rule to act as a key advisor to Sixth Street's Capital Formation and Strategy team on private fund and separately managed account marketing
• Manage and maintain Sixth Street's Global Capital Markets compliance program
• Collaborate with senior internal stakeholders on future business growth areas by organizing and managing regulatory workstreams
• Manage and drive regulatory reporting obligations (e.g., ADV, Form PF)
• Design and draft policies and procedures and lead new compliance initiatives as the compliance environment and business evolves
• Enhance compliance workflows and create efficiencies in processes by collaborating with Engineering in utilizing technology and AI
• Review regulatory developments and implement procedures to ensure platform compliance with all applicable rules and regulations

What We Value

• Highly motivated, entrepreneurial, and team-oriented candidates
• Ownership mentality / Entrepreneurial mindset
• High energy and integrity
• Highly curious and motivated
• Self-starter who requires little direction
• Strong analytical and problem-solving skills
• Strong combination of organizational and interpersonal/communication skills
• Strong academic credentials

Preferred

• 5+ years of relevant compliance experience at an asset manager or private fund investment adviser
• Strong understanding of SEC Marketing Rule and application of rule in private fund marketing
• Bachelor's Degree; MBA and/or JD [optional]
• Detail-oriented, responsible and proactive
• Ability to handle multiple tasks simultaneously and work under pressure
• Strong written and oral communication skills
• Deadline-oriented to meet time-sensitive contractual requirements
• Candidate must be self-motivated and willing to work in a team environment across multiple offices
• Ideal candidate will be a team player, able to work collaboratively across different teams, and train team members on areas of expertise

Compensation

The base salary for this position is expected to be between $175,000 and $200,000. The base salary offered to the selected candidate will be commensurate with a candidate's relevant experience and other qualifications for the position, as determined by Sixth Street in its sole discretion.

In addition to base salary, this position is eligible for an annual discretionary bonus and a competitive benefits package. Benefits offered currently include health, life, long-term and short-term disability insurance and a 401(k) plan. In addition, this role is eligible for paid public holidays (NYSE calendar), paid sick days pursuant to local laws, and additional reasonable time off subject to manager approval.

If a job offer is extended for a location other than New York, the salary range may differ based on the location.

About Sixth Street

Founded in 2009, Sixth Street is a leading global investment firm dedicated to developing themes and offering solutions to companies across all stages of growth. Our firm is designed for cross-platform collaboration at scale: we build businesses, invest for growth, acquire assets, provide direct financing, identify value in public markets, purchase royalty streams, and regularly develop first-of-their-kind structures to meet the strategic objectives of management teams. We do all this globally and as one unified team of investment and control-side professionals working on behalf of our institutional investors and their beneficiaries around the world. We believe adhering to our core values is a competitive advantage. Everyone on our team contributes their perspectives and expertise to help us solve complex challenges and get to the right answer. At Sixth Street, the best idea wins.