Compliance Manager

Compliance Manager

Deerpath Capital is a leading direct lending investment firm specializing in providing first lien, senior debt financing to middle market companies. Deerpath is focused on providing debt capital for acquisitions, refinancings, ownership transitions and growth capital to companies in the U.S. lower middle market.

This position will assist in the management of the compliance program's policies, reporting and practices for Deerpath, a SEC registered investment advisor. Under the direction of the Compliance Director, the Compliance Manager will be responsible for applying compliance policies and procedures to business practices, documenting the assessment and testing of supervisory controls. The Compliance Manager will work with the compliance team to foster compliance related initiatives, maintain policies and procedures, monitor and create controls.

Primary Responsibilities :

• Assist the Compliance Director with the overall management of the firm's Compliance Program which consists of SEC compliance, state specific compliance and compliance in international jurisdictions
• Be knowledgeable about the company's compliance policies stated in its Code of Ethics, Compliance Manual, AML / KYC policy and other policy documents and apply them on a daily basis
• Interact with the firm's employees on all compliance related matters
• Monitor and create control systems to test internal policies, document results and recommend effective enhancements
• Maintain and review reports, logs, and organized records
• Manage the administration of compliance trainings
• Provide compliance support to the company and its stakeholders

Desired skills & Experience :

Deerpath Capital Management, LP is an equal opportunity employer committed to diversity and inclusion. We are pleased to consider 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.