What are the responsibilities and job description for the Compliance Director or Senior Manager - BDC / CLO position at SDL Search Partners?
Compliance Director or Senior Manager - BDC / CLO
Top Asset Management firm is looking for a Compliance Director as a new addition to the team. This is a great role for an individual with 8 years of related experience looking for opportunity to take ownership of the Compliance function, within a established company that continues to grow organically.
Compensation & Benefits:
- Strong base pay
- Bonus
- Profit Sharing
- Opportunities for growth & professional development
- Health / Dental / Vision / 401k
- Fantastic company culture
- Hybrid work model
Responsibilities:
- Establish and maintain compliance rules in the core compliance engine
- Maintain up to date understanding of new and proposed regulations to determine applicability to the firm based on a thorough understanding of the current business model.
- Prepare quarterly and annual compliance reports and updates for the boards of each BDC, including presenting at board meetings and serving as a regular compliance contact for independent directors
- Review and assess service providers' policies and procedures; conduct compliance-related due diligence on fund service providers and vendors
- Work closely with legal, finance, operations, and portfolio management to develop, document, and maintain policies and procedures reasonably designed to prevent, detect, and correct violations of applicable securities laws
- Review and updating compliance policies and procedures
- Assisting with investment compliance
- Review and approving of marketing materials
- Partner with investment staff, including portfolio managers and deal teams, to troubleshoot compliance questions and support transaction execution across the Private Credit platform
- Participate in and leading strategic initiatives within the team and in partnership with various business partners
Requirements:
- 5-10 years of relevant experience
- Bachelor's degree in Finance, Accounting, Economics, or related field preferred
- Experience in the financial services industry, compliance and/or operations
- Regulatory and policy experience a plus
- Ability to business partner across departments & levels, as well as with the leadership team, and external parties
- Interest in growth & promotion with the firm