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Regulatory Compliance Specialist

2 months ago


Chicago, Illinois, United States Deerpath Capital Management Full time
Job Overview

Company Background

Deerpath Capital is a prominent direct lending firm that specializes in providing first lien senior debt financing to middle market enterprises. The firm is dedicated to supplying debt capital for acquisitions, refinancings, ownership transitions, and growth capital to companies within the U.S. lower middle market. With investment offices located in major cities and international investor relations offices, Deerpath manages approximately $7.5 billion in assets.

Position Summary

The Compliance Associate will play a vital role in supporting the management of compliance programs, policies, and practices at Deerpath. Reporting to the Compliance Director, this position is tasked with implementing compliance policies and procedures, documenting assessments, testing supervisory controls, and promoting compliance initiatives while maintaining and monitoring relevant policies.

Key Responsibilities

  • Assist the Compliance Director in overseeing the firm's Compliance Program, which encompasses SEC compliance, state-specific regulations, and international compliance matters.
  • Review and enforce the company's compliance policies as detailed in the Code of Ethics, Compliance Manual, and AML/KYC policy.
  • Develop and monitor control systems to evaluate internal policies, document findings, and suggest effective improvements.
  • Generate and maintain comprehensive reports, logs, and organized records.
  • Contribute to the administration of compliance training for new hires.
  • Provide compliance support to the organization and its stakeholders.
  • Assist with various aspects of the Compliance Program.

Qualifications

  • Bachelor's degree in business, finance, accounting, statistics, economics, international relations/business, or a related field.
  • 3-5 years of experience in compliance, regulatory, or financial services roles.
  • Experience in private debt/equity, hedge funds, or registered investment advisors is advantageous.
  • Familiarity with Fund Compliance, Cybersecurity, AML/KYC, and Marketing Materials review is a plus.
  • Understanding of industry processes and existing business regulations is preferred.
  • Strong analytical and problem-solving skills.
  • Previous experience in customer/client service is preferred.
  • Ability to manage multiple tasks and responsibilities concurrently.
  • Team-oriented with a positive attitude and goal-driven mindset.
  • Commitment to accuracy and quality in all tasks.
  • Excellent organizational and process management skills.
  • Strong research and analytical capabilities.

Deerpath Capital Management, LP is an equal opportunity employer committed to diversity and inclusion. We welcome all qualified applicants for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, age, disability, protected veteran status, or any other protected characteristics.