About the Firm
Our client is a leading global alternative asset management firm with investment and operational teams around the world. The firm invests across a diversified set of strategies, including private equity, impact, credit, real estate, and market solutions. Its teams combine deep product and sector experience with broad capabilities to develop differentiated insights and add value for investors, portfolio companies, management teams, and communities.
Our client is a leading global alternative asset management firm with investment and operational teams around the world. The firm invests across a diversified set of strategies, including private equity, impact, credit, real estate, and market solutions. Its teams combine deep product and sector experience with broad capabilities to develop differentiated insights and add value for investors, portfolio companies, management teams, and communities.
The firm is committed to an inclusive, supportive workplace that encourages collaboration, innovation, humility, and transparency, and values diverse perspectives.
Position Overview
Our client is seeking an Associate or Senior Associate to join its Credit Compliance team in New York. This role will focus on compliance oversight of the firm's credit strategies and requires regular interaction with credit investment teams, as well as Accounting, Operations, Legal, and Compliance personnel across the organization.
Our client is seeking an Associate or Senior Associate to join its Credit Compliance team in New York. This role will focus on compliance oversight of the firm's credit strategies and requires regular interaction with credit investment teams, as well as Accounting, Operations, Legal, and Compliance personnel across the organization.
Principal Responsibilities
• Coordinate with deal professionals, transaction counterparties, and other members of Legal and Compliance to identify
and mitigate potential conflicts prior to non-disclosure agreement (NDA) execution or wall crossings.
• Advise the credit business on compliance matters, including affiliate considerations, conflicts, and cross trades.
• Review trading activities, including allocations and adherence to investment guidelines.
• Conduct reviews of electronic communications and trade surveillance flags.
• Work cross-functionally with other areas of Compliance in support of the credit business and its investment staff.
• Support internal audits, third-party testing, regulatory filings, and regulatory inquiries.
• Coordinate with deal professionals, transaction counterparties, and other members of Legal and Compliance to identify
and mitigate potential conflicts prior to non-disclosure agreement (NDA) execution or wall crossings.
• Advise the credit business on compliance matters, including affiliate considerations, conflicts, and cross trades.
• Review trading activities, including allocations and adherence to investment guidelines.
• Conduct reviews of electronic communications and trade surveillance flags.
• Work cross-functionally with other areas of Compliance in support of the credit business and its investment staff.
• Support internal audits, third-party testing, regulatory filings, and regulatory inquiries.
Requirements
• Minimum of 2 years of relevant compliance experience within the financial industry.
• Knowledge of the investment management and private funds industry.
• Experience with credit products, including loan trading, direct lending, securitizations, and distressed debt, is a plus.
• Familiarity with information barriers, cross-wall interactions, and material nonpublic information (MNPI) cleansing
analysis.
• Strong organizational and communication skills and attention to detail.
• Ability to work in a fast-paced environment, manage time and tasks effectively, and meet deadlines.
• Minimum of 2 years of relevant compliance experience within the financial industry.
• Knowledge of the investment management and private funds industry.
• Experience with credit products, including loan trading, direct lending, securitizations, and distressed debt, is a plus.
• Familiarity with information barriers, cross-wall interactions, and material nonpublic information (MNPI) cleansing
analysis.
• Strong organizational and communication skills and attention to detail.
• Ability to work in a fast-paced environment, manage time and tasks effectively, and meet deadlines.