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Senior Compliance Analyst
2 months ago
Employer Overview:
Octagon Credit Investors, LLC is a well-established investment advisory firm with over 25 years of experience and manages assets exceeding $34 billion. The firm specializes in leveraged loans, high-yield bonds, and structured credit investments, including CLO debt and equity. Through thorough credit analysis and proactive portfolio management, Octagon's investment professionals identify compelling relative value opportunities across various below-investment grade asset classes, sectors, and issuers. The firm's investment philosophy emphasizes dynamic internal communication to effectively manage portfolio risk, employing a disciplined, repeatable, and scalable approach to achieve attractive risk-adjusted returns for investors.
Founded in 1994 as a division of Chemical Bank, Octagon became an independent entity in 1999. The firm is headquartered in New York and employs approximately 90 dedicated professionals, many of whom have built their careers at Octagon.
Octagon fosters a rewarding and challenging work environment, promoting employee retention through significant ownership and low turnover rates. The firm values diversity, equity, and inclusion, encouraging employees to express their authentic selves at work. An atmosphere where every voice is heard and every idea is valued is central to Octagon's culture.
Position Overview:
The Compliance Associate or Senior Associate plays a crucial role in supporting the Compliance team with various regulatory reporting, testing, and daily compliance monitoring tasks. We seek a seasoned compliance professional who will significantly contribute to the enhancement of Octagon's compliance program.
Key Responsibilities:
- Monitor advisory and broker-dealer activities to ensure adherence to established policies and procedures.
- Conduct assessments and testing of the firm's Compliance Program to verify its effectiveness.
- Administer the firm's Code of Ethics, encompassing policies related to Personal Securities and management of MNPI/Conflicts of Interest.
- Deliver comprehensive compliance training and educational programs to employees across all levels.
- Assist in the preparation 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 audits, both internal and external.
- Address inquiries regarding the firm's compliance policies, applying sound judgment and proposing solutions for process improvements.
- Participate in internal Committees and assist in the creation of meeting materials.
- Facilitate reporting for clients and funds, including compliance reviews of marketing materials.
- Support compliance reviews of the portfolio management process, including trade monitoring 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 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 a plus.
- J.D. candidates are encouraged to apply.
- Familiarity with Private Credit, 40 Act Funds, CLOs, and legal knowledge regarding fund structure and regulatory research.
- Experience with regulatory reporting, including coordination with peers and service providers.
- Ability to analyze and collaborate with stakeholders to implement new regulatory requirements.
- Strong conflict and risk assessment skills, with the ability to analyze MNPI and exercise discretion.
- Proficiency in Microsoft Office applications.
- Excellent written and verbal communication skills, along with strong analytical capabilities and attention to detail.
- Ability to manage multiple tasks, work independently, and thrive under pressure.
- Highly motivated team player with a positive attitude and a reputation for professional integrity.
- Capacity to articulate views and supporting data clearly.
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, welcoming applicants from diverse backgrounds. All qualified candidates will be considered for employment without regard to race, color, religion, sex, marital status, national origin, disability, age, or veteran status. Please note that Octagon does not sponsor work visas or immigration-related employment benefits.
