Compliance Associate or Senior Associate

1 month ago

new york city, United States Octagon Credit Investors Full time

Employer Summary:


Octagon Credit Investors, LLC is a 25+ year old, $34+B investment adviser focused on leveraged loan, high yield bond, and structured credit (CLO debt and equity) investments. Through fundamental credit analysis and active portfolio management, Octagon's investment team identifies attractive relative value opportunities across below-investment grade asset classes, sectors, and issuers. Octagon’s investment philosophy and methodology encourage and rely upon dynamic internal communication to manage portfolio risk. Over its history, the firm has applied a disciplined, repeatable, and scalable approach in its effort to generate attractive risk-adjusted returns for its investors.


The firm was founded in 1994 as a separate business unit of Chemical Bank and in 1999, Octagon spun out from Chase Manhattan Bank. Octagon honors its heritage through its company name and logo, both of which are derived from Chase Manhattan's emblem. Located in New York, the firm currently comprises approximately 90 employees, many of whom have spent their entire professional careers at Octagon.


Octagon believes that providing a challenging and rewarding career, combined with a supportive work environment, incents employees to remain at the firm. Significant employee ownership and low employee turnover also underscore our culture of partnership, teamwork, and dedication to preserving investor capital across all our funds/accounts under management. We also embrace the principles of diversity, equity, and inclusion; our employees can bring the best version of themselves to work every day. We thrive in an environment where everyone’s voice is heard, every idea counts, and the differences of our employees are valued.


Position Summary:


The Associate or Senior Associate is responsible for supporting the Compliance team with various aspects of regulatory reporting, testing, and daily compliance monitoring. We are looking for an experienced compliance professional who will take on an integral role in helping to contribute to the management of Octagon’s compliance program.


Essential Duties and Responsibilities:


•Active monitoring of advisory and broker-dealer activities to ensure compliance with policies & procedures

•Conduct testing and assessment of the firm’s Compliance Program under 206(4)-7 to ensure effectiveness

•Carry out the administration of the firm’s Code of Ethics, which includes numerous policies such as Personal Securities, management of MNPI/Conflicts of Interest, etc.

•Deliver comprehensive compliance education and training programs to employees at all levels

•Assist in the preparation, documentation, and submission of Form ADV, Form PF, Form 13F and other regulatory, federal, state and governmental filings and help manage ongoing filing matters

•Prepare for and respond to regulatory inquiries, examinations, internal and external audits

•Answer questions pertaining to the firm’s compliance policies, apply judgment in response to day-to-day questions, and follow up with solutions/process improvement

•Participate in various internal Committees and assist by creating meeting materials

•Facilitate clients’/funds’ reporting including 40 Act, Private Funds and non-US jurisdictions and compliance review of marketing materials

•Assist with Compliance review of portfolio management process, which includes trade monitoring, testing and error correction

•Opportunities to research regulatory rules and assist with policy updates and implementation

•Establish expertise in company products and overall business needs

•Proactively engage in any ad-hoc or special projects that may arise



Areas of Knowledge, Skills, and Abilities/Qualifications:


•3+ years of Investment Adviser Compliance experience

•FINRA Series 7, 63, and 24 (optional)

•Candidates holding a J.D. are welcome

•Working knowledge of the following: Private Credit, 40 Act Funds, Collateralized Loan Obligations (CLOs), and/or legal knowledge (i.e., fund structure, regulatory research, transactions, governance, etc.)

•Regulatory reporting (e.g., Form ADV, Form PF, AIFMD/foreign filings), including coordination with peers and service providers, analysis of instructions, and processing data

•Ability to analyze and partner with stakeholders to implement new regulatory requirements

•Sophisticated conflict and risk assessment capability, including ability to analyze MNPI and ability to exercise discretion and judgment

•Strong proficiency in Microsoft Office applications

•Excellent written and oral communication skills, strong analytical skills, and exemplary attention to detail

•Ability to multi‐task, be proactive, work independently, and work effectively under pressure (often under deadlines and changing priorities)

•Highly motivated, proactive team player with a positive attitude

•Outstanding reputation of professional integrity and maturity

•Ability to clearly articulate views and supporting data



Compensation and Benefits:


•Competitive salary and eligibility for year-end performance-based bonus

•Medical, dental, vision, life, and disability insurance

•Commuter benefits

•401(k) matching program

•Employee Assistance Program (“EAP”)

•Professional designation and licensure assistance

•Family support and leaves of absence


Contact:


Contact: careers@octagoncredit.com

Attention: Howard Barkin, Recruitment Manager


Octagon Credit Investors is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex (including gender, gender identity, sexual orientation, or pregnancy), marital status, national origin, disability, age, or veteran status.


Please note that Octagon does not sponsor work visas or immigration-related employment benefits. We encourage all individual applications; please, no recruiters or agencies.

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