Related skills
compliance policy development training regulatory filings regulatory affairs📋 Description
- Oversee compliance of credit investment activities; advise on ICA 1940 & IAA 1940.
- Lead risk assessments and testing for OFS and its funds.
- Develop and update compliance policies; respond to staff inquiries.
- Review Code of Ethics disclosures and pre-clearance requests.
- Deliver compliance training across the organization.
- Review marketing materials for regulatory compliance.
🎯 Requirements
- 10+ yrs exp as compliance pro at an SEC-registered manager or SEC staff.
- 3+ yrs exp in investment company compliance.
- Credit investment experience (CLOs, BSLs, CMBS, direct lending).
- Trade compliance experience a plus.
- Working knowledge of Investment Advisers Act and Investment Company Act.
- Policy development and drafting proficiency.
🎁 Benefits
- Medical, dental, and vision plans
- Health Savings Account with employer contribution
- Company paid life and disability insurance
- 401(k) with company match
- Paid time off including vacation, holidays, sick time, and bereavement
- Up to 16 hours volunteer time off
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