Deputy Chief Compliance Officer

Greenwich, CT



  • Offer compliance support and oversight of the firm’s investment advisory businesses involving credit and independently managed accounts
  • Help with employing the firm’s rules and practices across the numerous business lines
  • Aid in supervising and analyzing the firm’s credit compliance program
  • Formulate quarterly and yearly compliance reports for senior management, the Risk & Compliance Committee and BDC board of directors
  • Prepare federal and state regulatory filings and other associated compliance documentation, and partner with managing regulatory exams and queries
  • Evaluate and authorize credit marketing materials
  • Examine particular corporate and loan transaction documents
  • Work with Investment, legal, Finance and IT teams to certify compliance efforts are incorporated
  • Partake in all Risk & Compliance Committee meetings




  • Considerable experience as a compliance professional at an SEC-registered investment advisor or regulator (5-10+ years)
  • J.D. ideal; corporate transactions experience is favorable
  • Robust understanding of the Investment Company Act of 1940 and the Investment Advisers Act of 1940
  • Relevant experience in improving and employing policies and procedures
  • Experience with testing and performing risk assessments and managing regulatory examinations
  • Experience preparing and filing federal and state regulatory filings and compliance documentation
  • Knowledge of the full range of asset management products and services, including 1940 Act vehicles, private funds and separately managed accounts






Note: Qualified candidates will be contacted within 2 business days of application. If an applicant does not meet the above criteria, we will keep your resume on file for future opportunities and may contact you for further discussion.

Date Posted 1/21/2021
Salary $175,000 - $250,000 + bonus

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