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Regulatory Compliance Associate

2 months ago

New York, New York, United States Octagon Credit Investors Full time

Employer Overview:

Octagon Credit Investors, LLC is a well-established investment advisory firm with over 25 years of experience and a focus on leveraged loans, high yield bonds, and structured credit investments. Our investment team utilizes fundamental credit analysis and proactive portfolio management to uncover attractive relative value opportunities across various below-investment grade asset classes, sectors, and issuers. Our investment philosophy emphasizes dynamic internal communication to effectively manage portfolio risk, ensuring a disciplined and repeatable approach to generating appealing risk-adjusted returns for our investors.

Founded in 1994 as a distinct unit of Chemical Bank, Octagon became an independent entity in 1999. We take pride in our heritage, reflected in our name and logo, which are inspired by Chase Manhattan's emblem. Based in New York, our firm consists of approximately 90 dedicated employees, many of whom have built their careers with us.

At Octagon, we believe in fostering a challenging and rewarding career environment that encourages employee retention. Our culture is characterized by significant employee ownership and low turnover, highlighting our commitment to partnership, teamwork, and the preservation of investor capital across all managed funds. We are also dedicated to diversity, equity, and inclusion, ensuring that our employees can bring their authentic selves to work. We thrive in a culture where every voice is valued, and diverse perspectives are embraced.

Position Overview:

The Compliance Associate or Senior Associate will play a crucial role in supporting the Compliance team with various aspects of regulatory reporting, testing, and daily compliance oversight. We seek an experienced compliance professional who will contribute significantly to the management of Octagon's compliance framework.

Key Responsibilities:

  • Monitor advisory and broker-dealer activities to ensure adherence to established policies and procedures.
  • Conduct evaluations and assessments of the firm's Compliance Program to ensure its effectiveness.
  • Administer the firm's Code of Ethics, encompassing policies related to Personal Securities, management of MNPI/Conflicts of Interest, and more.
  • Deliver comprehensive compliance training and educational programs to employees across all levels.
  • Assist in the preparation, documentation, and submission of regulatory filings, including Form ADV, Form PF, and Form 13F, while managing ongoing filing matters.
  • Prepare for and respond to regulatory inquiries, examinations, and both internal and external audits.
  • Address inquiries related to the firm's compliance policies, applying sound judgment to daily questions and following up with solutions and process improvements.
  • Participate in various internal committees and assist in creating meeting materials.
  • Facilitate compliance reporting for clients and funds, including 40 Act, Private Funds, and non-US jurisdictions, as well as review marketing materials for compliance.
  • Assist with compliance reviews of the portfolio management process, including trade monitoring, testing, and error correction.
  • Engage in research on regulatory rules and assist with policy updates and implementation.
  • Develop expertise in company products and overall business needs.
  • Proactively participate in ad-hoc or special projects as they arise.

Qualifications:

  • Minimum of 3 years of experience in Investment Adviser Compliance.
  • Possession of FINRA Series 7, 63, and 24 licenses is optional.
  • Candidates with a J.D. are encouraged to apply.
  • Familiarity with Private Credit, 40 Act Funds, Collateralized Loan Obligations (CLOs), and legal knowledge related to fund structure, regulatory research, and governance.
  • Experience with regulatory reporting, including coordination with peers and service providers, analysis of instructions, and data processing.
  • Ability to analyze and collaborate with stakeholders to implement new regulatory requirements.
  • Strong conflict and risk assessment skills, including the ability to analyze MNPI and exercise discretion and judgment.
  • Proficiency in Microsoft Office applications.
  • Excellent written and verbal communication skills, strong analytical abilities, and meticulous attention to detail.
  • Ability to manage multiple tasks, work independently, and perform effectively under pressure.
  • Highly motivated team player with a positive attitude and a reputation for professional integrity.
  • Ability to clearly articulate viewpoints and supporting data.

Compensation and Benefits:

  • Competitive salary with eligibility for performance-based bonuses.
  • Comprehensive medical, dental, vision, life, and disability insurance.
  • Commuter benefits.
  • 401(k) matching program.
  • Employee Assistance Program (EAP).
  • Support for professional designations and licensure.
  • Family support and leave of absence policies.

Octagon Credit Investors is an equal opportunity employer, committed to diversity and inclusion in the workplace. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, marital status, national origin, disability, age, or veteran status.