Senior Compliance Associate – Boston, MA – Financial Services/BDC
Our team is working with one of the highest performing BDC's in the country with a heavy focus on venture lending to hire a Senior Compliance Officer to their growing team. The Senior Associate will report to the Chief Compliance Officer (“CCO”) and support the Company’s regulatory compliance reporting, testing and oversight functions. This position will work closely with the CCO, Deputy Compliance Officer and outside compliance consultants to ensure proper oversight of the compliance program and its activities.
Responsibilities:
- Assist with the development of ongoing policies, procedures and monitoring in accordance with applicable SEC, NYSE and other regulations.
- Perform routine and ad hoc compliance testing via the Company’s compliance testing software.
- Review personal trading and other activities requiring reporting and/or preclearance for all employees.
- Assist with the development and running of regular and ad hoc compliance trainings.
- Assist with portfolio company due diligence related to compliance with AML/KYC policies and procedures.
- Assist with the management and oversight of recordkeeping and record destruction in accordance with applicable regulations.
- Work to ensure relevant regulatory filings, including NYSE Affirmations, Form ADV, Form PF and other filings, are submitted appropriately.
- Respond to issues and questions identified by employees, compliance software models and/or outside compliance consultants.
- Assist with the preparation of compliance and risk reporting to the board of directors.
- Support the annual review of the compliance program in accordance with Rule 38a-1 of the 1940 Act and Rule 206(4) of the Advisers Act.
- Assist with compliance assurance matters and examination readiness.
General Qualifications
- Bachelor’s degree and 3+ years of relevant experience at an asset manager, law firm or compliance consultant.
- Working knowledge of regulatory compliance, with preference for 1940 Act/Advisers Act regulation.
- Capacity to professionally handle highly confidential and sensitive information.
- Capacity to professionally handle highly confidential and sensitive information.
- Strong written communication skills.
- Excellent organizational and time management skills; ability to prioritize multiple projects with high attention to detail and adaptability.
- Customer service orientation with strong interpersonal skills with the capacity to interact with outside parties and personnel across all levels of the firm
This role is a full time hybrid opportunity (3 days in 2 at home) that will offer up to $150K on a base salary, 25% bonus, and outstanding benefits. If you are interested in this opportunity, please reach out to Vincenzo Kulturides directly at [email protected]
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