1st Vice President, Compliance (OFS)

📋 Description

• Conducting compliance oversight of credit investment activities and providing guidance regarding
• Directing and/or participating in regular risk assessments and testing of the activities and
• Promulgating and administering compliance policies, including drafting new and updating existing
• Reviewing Code of Ethics-related disclosures and pre-clearance requests.
• Providing compliance-related training for all levels of employees, appropriate to their respective
• Reviewing marketing and advertising materials, including flipbooks and Due Diligence

🎯 Requirements

• 10+ years’ experience as a compliance professional at an SEC-registered investment manager and/or
• 3+ years’ experience in investment company compliance.
• Credit investment (e.g., CLOs, BSLs, CMBS, direct lending) experience.
• Trade compliance experience a plus.
• Working knowledge of Investment Advisers Act of 1940 and Investment Company Act of 1940.
• Professional and effective communicator.

🎁 Benefits

• A variety of Medical, dental, and vision benefit plans
• Health Savings Account with a generous employer contribution
• Company paid life and disability insurance
• 401(k) savings plan, with company match
• Comprehensive paid time off, including: vacation days, 10 designated holidays, sick time, and
• Up to 16 hours of volunteer time off