Deputy Chief Compliance Officer

CIFC OVERVIEW

Founded in 2005, CIFC Asset Management LLC (together with its affiliates, “CIFC” or the “Firm”) is a global credit manager with $47 billion in assets under management as of December 31, 2025. CIFC focuses across multiple disciplines including CLOs, structured credit, corporate credit, and opportunistic credit, as well as direct lending. Headquartered in New York, and serving over 400 investors globally, we have approximately 200 employees with over 95 investment professionals averaging 14 years of credit experience. We are guided by a rigorous investment process, with an acute focus on downside risk protection and bottom-up fundamental credit research applied across our disciplines. For more information, please visit CIFC’s website at www.cifc.com.

POSITION OVERVIEW

The Deputy Chief Compliance Officer supports the Chief Compliance Officer in overseeing CIFC’s regulatory compliance program pursuant to Rule 206(4)-7 of the Investment Advisers Act of 1940, as amended (the “Advisers Act”).

RESPONSIBILITIES

• Design, implement, maintain and update the firm’s compliance policies and procedures to reflect changes to the business, regulatory updates and overall industry best practices
• Carry out daily compliance functions
• Oversee the firm’s administration of its Code of Ethics, which includes the personal trading policy
• Perform ongoing monitoring and testing of policies and procedures to ensure adequacy and effectiveness
• Prepare and file the Form ADV and Form PF (across six investment adviser entities)
• Prepare annual compliance report pursuant to Rule 206(4)-7 of the Advisers Act
• Ensure proper documentation is maintained as it relates to the Advisers Act
• Manage the firm’s relationship with expert network service providers’ compliance departments
• Perform due diligence on expert network and research service providers
• Lead responses to incoming questionnaires as it relates to legal and compliance-related questions
• Oversee periodic client and third-party service provider reporting (i.e., certifications and confirmations) as it relates to compliance-related requests
• Identify and resolve gaps and inefficiencies
• Collaborate with other departments on third-party service provider due diligence
• Serve as a compliance resource for all employees
• Actively contribute to multi-departmental projects for the firm
• Lead the execution of a mock regulatory examination
• Lead ad hoc projects as assigned
• Collaborate with the Senior Compliance Officer on the following:
• Monitoring of employees’ compliance with certain firm policies and procedures
• Review of marketing collateral, questionnaires/RFPs and investor communications
• Oversight of the firm and employee restricted lists
• Review of electronic communications
• Maintenance of proper documentation (i.e., with respect to trade errors, wall cross opportunities, etc.)
• ongoing liaison with the firm’s IT department to refine existing and utilize new technology to better automate tasks
• Handling of employee requests relating to the Code of Ethics (i.e., political contributions and personal trading)
• Coordination of firm-wide annual compliance training with the firm’s compliance consultant and department-specific compliance training (as necessary)
• Various departmental projects
• Manage and mentor the Compliance Analyst with respect to the following:
• Administration of the firm’s personal trading policy through ComplySci (a web-based compliance platform)
• Review of employees’ personal trading activities
• Responses to inbound KYC and AML requests from trading counterparties
• Preparation of certain compliance-related certifications as requested from trading counterparties
• Management of the firm’s expert network policy
• Preparation of certain regulatory filings
• Preparation of lobbyist filings (related to marketing activity)
• Preparation of responses to periodic questionnaires and certifications for investors and third-party service providers
• Maintenance of the firm and employee restricted lists
• Management of the compliance calendar
• Carrying out the firm’s sanctions monitoring procedures

SKILLS, EXPERIENCE & ATTRIBUTES REQUIRED

• At least 10 years of experience across a wide range of compliance responsibilities working at a registered investment adviser or compliance consulting firm
• Undergraduate degree with an excellent academic record
• Strong knowledge of the Investment Advisers Act of 1940
• Excellent written and verbal communication skills
• Be proactive in identifying and resolving issues as they arise
• Strong leadership, judgment and interpersonal skills and capable of building strong relationships across the firm
• Detail-oriented, organized and proactive
• Solutions-driven: strives for efficiency and scalability in the design of policies and procedures
• Ability to critically analyze policies, procedures and workflows for improvement
• Takes pride in his/her work
• Comfortable working in a fast-paced environment
• Ability to work diligently, multi-task and prioritize appropriately in an environment of short deadlines with expectations of accuracy and efficiency
• Motivated self-starter who can work independently on daily tasks and collaboratively on longer term projects