What are the responsibilities and job description for the Compliance Manager position at Deerpath Capital Management?
Location: Boston, Chicago or Florida
Company Description
Deerpath Capital is a leading direct lending investment firm specializing in providing first lien, senior debt financing to middle market companies. Deerpath is focused on providing debt capital for acquisitions, refinancings, ownership transitions and growth capital to companies in the U.S. lower middle market. Deerpath has investment offices in New York, Boston, Chicago, Los Angeles and Fort Lauderdale, as well as overseas investor relations offices in London, Seoul, Tokyo and Brisbane. The firm employs approximately 100 employees globally.
Job Description
This position will assist in the management of the compliance program’s policies, reporting and practices for Deerpath, a SEC registered investment advisor. Under the direction of the Compliance Director, the Compliance Manager will be responsible for applying compliance policies and procedures to business practices, documenting the assessment and testing of supervisory controls. The Compliance Manager will work with the compliance team to foster compliance related initiatives, maintain policies and procedures, monitor and create controls.
Primary Responsibilities
- Assist the Compliance Director with the overall management of the firm’s Compliance Program which consists of SEC compliance, state specific compliance and compliance in international jurisdictions
- Be knowledgeable about the company’s compliance policies stated in its Code of Ethics, Compliance Manual, AML/KYC policy and other policy documents and apply them on a daily basis
- Interact with the firm’s employees on all compliance related matters
- Monitor and create control systems to test internal policies, document results and recommend effective enhancements
- Maintain and review reports, logs, and organized records
- Manage the administration of compliance trainings
- Provide compliance support to the company and its stakeholders
Desired skills & Experience
- Bachelor’s degree in business, finance, economics, or a related field
- 7 years of experience in compliance, regulatory or financial services roles
- 1-2 years of people management experience and /or M.B.A. degree
- Private debt/equity, hedge fund and registered investment advisor experience a plus
- Fund Compliance, Cybersecurity, AML/KYC and Marketing Materials review experience a plus
- Understanding of financial industry processes and existing business regulations preferred
- Excellent organizational, problem- solving and analytical skills
- Previous customer/client service experience preferred
- Ability to handle multiple priorities with accuracy and attention to detail
- Strong interpersonal and communication skills with a collaborative, team-oriented mindset
- Commitment to accuracy and quality
- Excellent organizational, operations, and process management skills
- Strong research and analytical skills
- Efficiently drive task to completion
- Apply sounds judgement to spot issues, assess risks, and identify items requiring escalation
- Proficiency in MS Office and ability to learn new systems quickly
NO RECRUITERS or AGENCIES for this posting. Any unsolicited resumes sent to Deerpath will be considered Deerpath property. Deerpath will NOT pay a fee for any placements resulting from the receipt of any unsolicited resumes.
Deerpath Capital Management, LP is an equal opportunity employer committed to diversity and inclusion. We are pleased to consider all qualified applicants for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, age, disability, protected veteran status or any other protected characteristics.
