Summary
About the Role
Our client, a highly regarded, global alternative asset management firm, is seeking an experienced and strategic Compliance Principal to join its growing compliance team. In this high-visibility role, you will oversee and manage compliance functions across private credit, direct lending, and specialized fund structures. You will partner closely with investment teams, legal, and senior leadership to maintain a robust regulatory framework in a dynamic, fast-paced environment.
Key Responsibilities
- Oversee and refine the firm’s compliance program, specifically supporting private credit, direct lending, and Business Development Company (BDC) operations.
- Ensure ongoing adherence to relevant SEC regulations, the Investment Company Act of 1940, and broader legal/regulatory requirements.
- Monitor transaction workflows, fund operations, and valuation processes to identify and mitigate compliance risks.
- Lead regulatory filings, compliance reviews, and routine or ad-hoc exams/audits.
- Serve as a trusted advisor to senior management and deal teams on regulatory implications for novel debt structures and credit strategies.
- Maintain and update compliance policies, procedures, and internal monitoring systems.
Qualifications & Requirements
- 10+ years of senior compliance experience within alternative asset management, focusing on private credit, direct lending, or BDCs.
- Deep, demonstrated understanding of Business Development Company (BDC) regulations, governance, and operating mechanisms.
- Certified Securities Compliance Professional (CSCP) or other advanced professional compliance certifications preferred.
- Bachelor’s degree required; JD, MBA, or advanced degree is a strong plus.
- Exceptional analytical, communication, and leadership skills with a proven track record of working collaboratively across investment and executive leadership teams.
Job Description
About the Role
Our client, a highly regarded, global alternative asset management firm, is seeking an experienced and strategic Compliance Principal to join its growing compliance team. In this high-visibility role, you will oversee and manage compliance functions across private credit, direct lending, and specialized fund structures. You will partner closely with investment teams, legal, and senior leadership to maintain a robust regulatory framework in a dynamic, fast-paced environment.
Key Responsibilities
- Oversee and refine the firm’s compliance program, specifically supporting private credit, direct lending, and Business Development Company (BDC) operations.
- Ensure ongoing adherence to relevant SEC regulations, the Investment Company Act of 1940, and broader legal/regulatory requirements.
- Monitor transaction workflows, fund operations, and valuation processes to identify and mitigate compliance risks.
- Lead regulatory filings, compliance reviews, and routine or ad-hoc exams/audits.
- Serve as a trusted advisor to senior management and deal teams on regulatory implications for novel debt structures and credit strategies.
- Maintain and update compliance policies, procedures, and internal monitoring systems.
Qualifications & Requirements
- 10+ years of senior compliance experience within alternative asset management, focusing on private credit, direct lending, or BDCs.
- Deep, demonstrated understanding of Business Development Company (BDC) regulations, governance, and operating mechanisms.
- Certified Securities Compliance Professional (CSCP) or other advanced professional compliance certifications preferred.
- Bachelor’s degree required; JD, MBA, or advanced degree is a strong plus.
- Exceptional analytical, communication, and leadership skills with a proven track record of working collaboratively across investment and executive leadership teams.
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