Assistant Vice President/Vice President - Credit Compliance Officer

Responsibilities

• Identifying, reviewing and advising on conflicts of interest related to proposed transactions
• Contribute to governance, reporting and oversight of the Credit business
• Provide real time advice to business personnel on regulatory and internal policy issues
• Provide compliance oversight, monitoring and reporting to Compliance and senior management, implementing policies and procedures as relevant
• Advises on and further compliance on market abuse, information barrier, wall crossing and conflicts of interest matters, comporting to applicable regulation and Compliance policies and procedures
• Monitor, analyze and interpret new rules and regulations, identify and address any gaps between existing processes and new regulatory requirements
• Draft policies and procedures and advisory bulletins
• Conduct business focused compliance training regarding new and existing regulations and firm policies
• Liaise with internal and external audit teams and internal finance, operations and audit teams to perform periodic risk-assessments firm wide on regulatory and legal matters to identify areas of enhancement for compliance testing regime and regulatory exam preparedness
• Assist with facilitation of pre-trade compliance controls and analysis, including management of the Firm’s security master and sensitive data points
• Assist with review of re-allocations, best execution activity and trade overrides
• Assist in identification and remediation of trade and operational-related trade errors and issues
• Provide assistance in onboarding new client accounts
• Management of Portfolio and Client Restricted Lists (i.e. affiliated investments)
• Play a key role in the identification and implementation of technical solutions that drive efficiencies

Qualifications

• Minimum of +7 years of strong regulatory compliance gained within an alternative asset management environment
• Enthusiasm, motivation, curiosity and the ability to be proactive
• Solution-oriented self-starter with high integrity
• Strong project management skills
• Strong desire and ability to work as part of a collaborative team
• Ability to make sound judgements and simultaneously manage various issues and projects in a fast-paced environment
• Consistent attention to detail
• Excellent interpersonal skills and relationship building abilities
• Effective written and oral communication skills
• Advanced computer literacy including Microsoft Office (PowerPoint and Excel)