Position Summary

The Company seeks a Compliance Associate to support the Chief Compliance Officer across the firm’s regulatory compliance program and its public-company corporate governance function. The role spans two closely related mandates: (i) day-to-day administration of the compliance program under Rule 38a-1 and Rule 206(4)-7, including testing, filings, employee personal-trading controls, and the annual CCO Report; and (ii) end-to-end support of the Board of Directors, its Committees, and the annual shareholder meeting.

This is a hands-on, deadline-driven position with direct exposure to the CCO, executive management, and the Board. The successful candidate is highly organized, discreet, detail-obsessed, and comfortable owning a control from first draft through documented completion.

Core Responsibilities — Compliance Program

Maintain, update, and implement the Company’s Compliance Manual and related internal policies to ensure alignment with regulatory requirements and industry best practices.

Conduct annual compliance testing and prepare the annual CCO Report summarizing requirements, procedures, and results.

Ensure timely completion of regulatory filings and manage key compliance deliverables, including Fidelity Bond renewal materials, annual D&O questionnaires, FINRA questionnaires, share repurchase agreements, and Form 8-K and Form 4 submissions.

Prepare and help draft compliance documents and forms, including the annual 15(c) questionnaire.

Serve as Company liaison for the newswire and printer, reviewing and processing press releases and regulatory filings for dissemination.

Prepare the annual compliance calendar and monitor adherence to all deadlines.

Manage employee regulatory filings, disclosures, and preclearance requests; administer ComplianceAlpha to ensure accurate tracking and documentation.

Distribute compliance notifications, including trading window alerts and restricted lists, and issue additional reminders as needed.

Investigate and document potential compliance violations or conflicts, performing internal reviews and preparing summaries for Board reporting.

Prepare quarterly compliance presentations to the Board, including compliance updates, testing results, and any reportable issues.

Organize annual compliance training, updating materials to address key items of interest and internal policy changes.

Maintain key internal compliance records, including the related-party transaction (RPT) list, organizational chart, SAR share ownership tables, AML/OFAC search logs, and authorized signatory lists.

Manage the SAR dividend process, including Board consents, NYSE and Broadridge notifications, and dividend execution.

Assist with capital raises by providing diligence responses and documentation support.

Coordinate contract and engagement letter reviews, ensuring alignment with Company best practices.

Support onboarding of new hires by collecting required compliance documents and confirming understanding of relevant policies.

Coordinate signature pages for legal, compliance, and tax documents.

Coordinate KYC requests and document submissions from banks and third parties.

Manage UCC filings and monitor annual renewals and continuations with the Company’s registered agent.

Core Responsibilities — Board & Corporate Governance

Prepare the annual compliance and governance calendar, keeping the Board informed of all regulatory deadlines, Board and Committee meetings, and governance activities.

Coordinate all quarterly and annual Board and Committee meetings, including scheduling, meeting logistics, venue coordination, and seamless execution of meetings and related Board dinners.

Prepare Board meeting materials — agendas, compliance presentations, resolutions, consents, and ad hoc presentations — and distribute them in advance so members are fully prepared.

Attend all Board and Committee meetings and prepare detailed meeting minutes.

Coordinate the annual shareholder meeting across all phases, including drafting the Proxy Statement, meeting logistics, required notices, documentation, and coordination with the inspector of election to ensure regulatory compliance and timely filings.

Coordinate compliance and legal documents, ensuring Board members complete required forms, questionnaires, and approvals on time.

Draft Board resolutions and written consents supporting corporate actions, governance decisions, and regulatory requirements.

Maintain the SAR share ownership table for Board members, supporting compliance, SEC filings, and internal financial reporting.

Keep Board member biographies current for use in Proxy filings, public disclosures, and other reporting needs.

Manage and process Board compensation and reimbursements, ensuring accuracy, timeliness, and full compliance with internal policies.

Qualifications

Bachelor’s degree

3–6 years of compliance, corporate governance, paralegal, or regulatory operations experience at an asset manager, registered investment adviser, fund, or SEC-reporting company.

Working knowledge of the Investment Advisers Act, Investment Company Act, and Securities Exchange Act reporting obligations (Forms 8-K, 4, 3, and proxy requirements).

Demonstrated ability to own recurring compliance calendars and close items with documented evidence of review and completion.

Exceptional drafting skills, including minutes, resolutions, memoranda, and Board-level presentations.

Advanced Microsoft Word, Excel, PowerPoint, and Outlook; comfort with document management and e-signature platforms.

Absolute discretion in handling confidential and material non-public information.

Preferred / Helpful

BDC experience

Hands-on experience with ComplianceAlpha (or comparable systems)

Experience coordinating with outside counsel, auditors, fund administrators, and registered agents.

Key Competencies

Ownership mindset — tracks each item by deadline, owner, dependency, approval state, and evidence of completion.

Precision under deadline pressure, particularly during quarter-end, Board, and proxy cycles.

Clear, concise written communication with senior executives, directors, and external advisers.

Sound judgment on when to escalate to the CCO or outside counsel

Collaborative across finance, investment, investor relations, and administration functions.