Compliance Officer

3 weeks ago

New York, United States Golub Capital Full time

Position Information

Hiring Manager:

Deputy General Counsel

Department:

Legal & Compliance

Department Overview

The Legal & Compliance Department is responsible for managing legal risk and providing legal counsel for each of the Firm's functions. The Legal & Compliance Department also manages the Firm's regulatory profile under relevant securities laws. Key functions within the Legal & Compliance Department include: fund structuring, contract and entity management, compliance administration, special projects and institutional risk mitigation. The Legal & Compliance Department collaborates closely with Firm leadership and business unit heads to provide legal solutions to our growing business.

Position Responsibilities

The Compliance Officer is expected to contribute meaningfully to the review and clearance of all communications and content relating to the products and services of the Firm and ensure compliance with applicable regulations. A thorough understanding of the Firm's products, services and regulatory framework is necessary in this role.

Primary responsibilities include, but are not limited to:

* Reviewing marketing decks, sales literature, advertising, investor communications, website updates, social media posts, RFPs, DDQs, white papers and client reports to ensure that these materials meet SEC advertising regulations and internal quality control standards
* Collaborating with other members of the Legal & Compliance Team to ensure consistent standards and effective communication
* Partnering with other departments and building strong relationships throughout the Firm across levels
* Assisting with compliance-related escalations
* Staying apprised of regulatory matters and developments through reading, research and training through online webinars and conferences.
* Providing support during regulatory exams and audits
* Helping with special projects as required

Candidate Requirements

Qualifications & Experience:

* Bachelor's degree required; JD or MBA a plus
* 3+ years of relevant content review experience including experience with the Investment Advisers Act of 1940
* Thorough understanding of Rule 206(4)-1 under the Investment Advisers Act of 1940 (the Marketing Rule) and its application in the industry
* Understanding of the investment adviser industry and private investment funds in particular; experience with private credit funds preferred
* Strong analytical skills with experience in prioritization, issue identification and resolution
* Strong project management skills and the ability to review materials quickly while meeting deadlines
* Ability to navigate complex problems and ensure effective and sound decision-making
* Advanced written and verbal communication skills and ability to synthesize complex information into concise, actionable communication
* Abide by our work-in-office policies then in effect

Critical Competencies for Success

Our Gold Standards Model defines key behaviors and competencies across 4 dimensions: Leadership, Achieving Results, Personal Effectiveness and Thinking Critically. These behaviors and competencies drive our ability to win together.

* Leadership: Role models in this area consistently focus on the right goals and priorities and continually develop themselves and others. Always team players, they influence and engage with others to contribute to a supportive and inclusive culture where all feel welcome.
* Achieving Results: Role models in this area are high achievers who develop careful plans and deliver consistently and effectively. They hold themselves and others accountable for delivering high quality results, and they remove barriers to ensure others can contribute and grow.
* Thinking Critically: Role models in this area understand our business, rely on analytical reasoning and seek diverse perspectives to solve problems. They are forward thinking, anticipating issues and addressing them in advance.
* Personal Effectiveness: Role models in this area build strong relationships, treat others with respect and communicate effectively. They are driven to exceed expectations and are adaptable to changing circumstances.

The department-specific competencies define the knowledge, skills and abilities that are needed to successfully perform the functional or technical work of this role.

* Industry Knowledge: Demonstrates an understanding of the Firm's position in the industry, including its complex structure and competitive advantage in the marketplace. Monitors industry trends and changes and recognizes their relevancy and implications.
* Technical Communication and Documentation: Documents and communicates technical processes and procedures in area of specialty to stakeholders. Adapts the level of detail and specificity based on the needs of the intended audience.
* Compliance: Ensures compliance with laws and regulations and stays current with legislative and regulatory changes that impact the Firm.
* Contract Management: Leverages an understanding of the regulatory, legal and compliance elements of contracting to interpret and ensure adherence to contract agreements throughout the lifecycle of agreements.
* Negotiation: Applies advanced negotiating techniques and a consultative approach with customers and internal stakeholders to compliantly create measurable short- and long-term values that leads to mutually beneficial outcomes.
* Project / Program Management: Manages projects and / or programs through planning, identifying resources, monitoring and communicating project activities and assessing impacts of project decisions.

Compensation and Benefits

For New York Only: It is expected that the base salary range for this position will be Compensation & Benefits For New York Only: It is expected that the base salary range for this position will be $225,000 to $275,000. Actual salaries may vary based on factors such as skills, experiences and qualifications for the role. The total compensa. Actual salaries may vary based on factors such as skills, experiences and qualifications for the role. The total compensation package for this position may also include other elements and discretionary awards in addition to a full range of medical, financial and / or other benefits (including 401(k) eligibility and various paid time off benefits such as vacation, sick time and parental leave) dependent on the position offered. Details of participation in these benefit plans will be provided if an employee receives an offer of employment. If hired, the employee will be in an 'at-will position' and the Firm reserves the right to modify base salary (as well as any other discretionary payment or compensation program) at any time including for reasons related to individual performance, Firm or individual department / team performance and market factors.

Golub Capital is an Equal Opportunity Employer.

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