Legal & Compliance Analyst
2 months ago
Our client, a leading asset management firm with over $40B in AUM is seeking a Compliance Associate to join its rapidly growing credit platform. This role offers the chance to work within a well-established compliance team focused on investment advisor compliance for credit strategies, including BDCs.
Position Overview:
- Perform compliance testing and quarterly reviews for credit platform, including BDC-focused activities
- Collaborate on regulatory filings and assist in preparing materials for the BDC’s Board of Directors and Audit Committee
- Support investment process compliance requirements, including AML/KYC for new investments
- Facilitate new employee onboarding and manage compliance documentation across the platform
- Coordinate conflict checks and handle additional compliance projects as needed
Qualifications:
- Bachelor’s degree required; JD preferred
- 3+ years of compliance experience within financial services; experience with credit and familiarity with the Investment Company Act is a plus
- Strong analytical, organizational, and communication skills
- Proficiency in Microsoft Office (Word, Excel, PowerPoint, Adobe)
- Highly organized with a strong attention to detail and ability to manage multiple projects simultaneously
Job ID: 40825
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