Assistant Vice President of Compliance
Assistant Vice President of Compliance
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$ 160 - 175000
1 Vacancy
Job Description
Monroe Capital (the Firm) is a premier asset management firm specializing in private credit markets across various strategies including direct lending asset-based lending specialty finance opportunistic and structured credit real estate and equity. The Firm is seeking leader for its Assistant Vice President of Compliance role. The Assistant Vice President of Compliance will assist the Chief Compliance Officer in implementing and maintaining the Firms strategy programs policies and practices with regards to regulatory compliance and risk mitigation for its registered investment advisor entities. The Firm is seeking a candidate that will bring valuable expertise and be able to effectively communicate with internal and external stakeholders on complex compliance matters in a direct and simple manner. The Assistant Vice President of Compliance must be confident and proactive with the versatility of assisting and managing micro and macro compliance activities and actions. The Assistant Vice President of Compliance will be charged with supporting multiple areas of the business as well as assisting the CCO with further developing and maintaining the Firms compliance program as the Firm continues to grow and expand.
Responsibilities:
- Assist with further developing and managing the Firms risk management program including in-depth analysis of procedures within various departments to identify process improvements in terms of efficiency (including systems recommendations) and risk mitigation
- Identify areas of further development within the compliance program as the Firms continues to rapidly grow
- Establish a proactive presence with the management team with a focus on strategic business planning and development of the compliance oversight program and risk mitigation associated with new organizational initiatives
- Assist with updating and maintain the compliance programs for the Firms registered investment advisors and our business development companies
- Manage outsourced third-party compliance relationships (vendors consultants etc)
- Foster a compliance culture for efficiently and effectively managing compliance throughout the organization
- Implement and maintain a Broker/Dealer compliance program consistent with FINRA requirements
Qualifications:
- 10 years of related experience (within the compliance function of a SEC registered investment adviser and FINRA registered firm)
- FINRA Series 7 and Series 24 required
- Knowledge of sophisticated investment offerings across multiple jurisdictions ideally with a focus on private credit and with exposure to private equity style funds BDCs real estate and other emerging products
Compensation: It is expected that the base salary range for this position will be $160-175000. Actual salaries may vary based on factors such as skills experience and qualifications for the role. The total compensation 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 or compensation program) at any time including for reasons related to individual performance Firm or individual department / team performance and market factors.
Required Experience:
Chief
Employment Type
Full Time
