Senior Compliance Officer (or Compliance Officer)Golub Capital • Chicago, United States

Senior Compliance Officer (or Compliance Officer)

Golub Capital • Chicago, United States

30+ days ago

Job type

Full-time

Permanent

Job description

Responsibilities

The Firm acts as an investment adviser to onshore and offshore private funds, managed accounts and both public and private business developmentpanies. The Firm is seeking a Seniorpliance Officer to lead certain aspects of the Firm'spliance program. A thorough understanding of the Firm's products, services and regulatory framework is necessary in this role. This person will lead and manage routine and special projects on behalf of the broader Legal &pliance Department.

Primary responsibilities of this position will be :

Act as subject matter expert overseeing monitoring and testing of the Firm's regulatorypliance controls
Establish and enhancepliance standards and design and implement improvements to internal control structures
Develop and execute special or enhanced monitoring and testing techniques for new,plex or high-risk requirements, or in response to certain weaknesses discovered through routine assessments, testing, audits or exams
Manage andplete regulatory filings
Review advertising and sales materials, correspondence, investormunications and investor reports and other documents to ensure that these materials meet SEC advertising regulations and other regulatory rules, as applicable, and internal quality control standards
Investigate and resolvepliance-related issues and advise Senior Management and Board onpliance matters
Assess control design and effectiveness to mitigatepliance risk
Manage certain special projects related to the Legal &pliance Department as needed, , policy updates due to regulatory changes, research and rmend solutions related topliance matters
Serve as a subject matter expert on the implementation and execution of testing regulatorypliance controls
Effectivelymunicatepliance-related issues requiring management attention
Stay apprised of regulatory matters and developments through reading, research and training through online webinars and conferences and assist with exam preparedness efforts
Collaborate internally with other members of the Legal &pliance Department to ensure consistent standards and effectivemunication

Candidate Requirements

Qualifications & Experience :

Bachelor's degree or equivalent education required; JD from a top-tier institution is preferred but not required

At least 8 years of relevant experience including experience with the Investment Advisers Act of 1940 and / or the Investmentpany Act of 1940

Knowledge and understanding of regulatory and industry best practices developments, particularly in the areas ofpliance, corporateernance and risk management

Preference for previous exposure to, and broad understanding of, the credit asset management business

Strong analytical skills with experience in prioritization, issue identification and resolution

Strong project management skills, ability to review materials quickly and ability to drive and meet deadlines

Skilled in business writing and editing with strong attention to detail

Quick learner who has an ability to graspplicated financial concepts

Capacity and passion for being part of a fast-growing, multi-office environment

Team oriented with the ability to build relationships and earn the respect of others

Self-starter with the ability to manage projects independently

Ability to handle sensitive matters at all levels of the organization with discretion and confidentiality

Ability to anticipate and react quickly to the evolving financial services regulatory environment

Demonstrated knowledge base and stature to deliver solution-oriented advice in a manner that is respected and valued by business and staff group leaders and constituents

Enthusiastic about working in office and creating a Gold Standard hybrid work culture

Criticalpetencies for Success

Our Gold Standards Model defines key behaviors andpetencies across 4 dimensions : Leadership, Achieving Results, Personal Effectiveness and Thinking Critically. These behaviors andpetencies drive our ability to win together.

Leadership : Role models in this area consistently focus on the right goals and priorities and continually develop themselves and others. Always team players, they influence and engage with others to contribute to a supportive and inclusive culture where all feel wee.

Achieving Results : Role models in this area are high achievers who develop careful plans and deliver consistently and effectively. They hold themselves and others accountable for delivering high quality results, and they remove barriers to ensure others can contribute and grow.

Personal Effectiveness : Role models in this area build strong relationships, treat others with respect andmunicate effectively. They are driven to exceed expectations and are adaptable to changing circumstances.

Thinking Critically : Role models in this area understand our business, rely on analytical reasoning and seek diverse perspectives to solve problems. They are forward thinking, anticipating issues and addressing them in advance.

The department-specificpetencies define the knowledge, skills and abilities that are needed to successfully perform the functional or technical work of this role.

Industry Knowledge : Demonstrates an understanding of the Firm's position in the industry, including itsplex structure andpetitive advantage in the marketplace. Monitors industry trends and changes and recognizes their relevancy and implications.

Technicalmunication and Documentation : Documents andmunicates technical processes and procedures in area of specialty to stakeholders. Adapts the level of detail and specificity based on the needs of the intended audience.

Ensurespliance with laws and regulations and stays current with legislative and regulatory changes that impact the Firm.

Contract Management : Leverages an understanding of the regulatory, legal andpliance elements of contracting to interpret and ensure adherence to contract agreements throughout the lifecycle of agreements.

Negotiation : Applies advanced negotiating techniques and a consultative approach with customers and internal stakeholders topliantly create measurable short- and long-term values that leads to mutually beneficial oues.

Project / Program Management : Manages projects and / or programs through planning, identifying resources, monitoring andmunicating project activities and assessing impacts of project decisions.

For Illinois Only : It is expected that the base salary range for this position will be $220,000 to $280,000 for a Seniorpliance Officer and $150,000 to $200,000 for apliance Officer. Actual salaries may vary based on factors such as skills, experiences and qualifications for the role. The totalpensation package for this position may also include other elements and discretionary awards in addition to a full range of medical, financial and / or other benefits (including 401(k) eligibility and various paid time off benefits such as vacation, sick time and parental leave) dependent on the position offered. Details of participation in these benefit plans will be provided if an employee receives an offer of employment. If hired, the employee will be in an 'at-will position' and the Firm reserves the right to modify base salary (as well as any other discretionary payment orpensation program) at any time including for reasons related to individual performance, Firm or individual department / team performance and market factors.

Golub Capital is an Equal Opportunity Employer.

Due to the highly regulated nature of Golub Capital's business and because of the sensitivity of the information that all personnel have access to, Golub Capital performs extensive and thorough pre-hire screens to ensure that its personnel act with expected levels of integrity, professionalism and personal responsibility. Job ID R-11784

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Compliance Officer • Chicago, United States