- Assist the Compliance Director with the firm's Compliance Program which consists of SEC compliance, State specific compliance and compliance in International jurisdictions (particularly UK & EEA)
- Review and apply company's compliance policies outlined in the Code of Ethics, Compliance Manual, AML/KYC policy and other policy documents
- Assist with Fund Compliance registration, marketing and reporting requirements
- Monitor and create control systems to test internal policies, document results and recommend effective enhancements
- Create and maintain reports, logs, and organized records
- Participate in administrating compliance trainings to new employees
- Provide compliance support to the company and stake holders
- Assist with Compliance Program in general
- Bachelor's degree in business, finance, accounting, statistics, economics, international relations/business, or related field
- 3-5 years' experience working in compliance, legal, regulatory or financial services roles
- Private debt/equity, hedge fund and registered investment advisor experience a plus
- Fund Compliance, Cybersecurity, AML/KYC and Marketing Materials review experience a plus
- Understanding of industry processes and existing business regulations preferred
- Strong problem solving and data analytical skills
- Previous customer/client service experience preferred
- Ability to handle multiple tasks and properties simultaneously
- Team oriented, positive attitude and goal driven
- Commitment to accuracy and quality
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Compliance Analyst - City of London, Greater London, United Kingdom - Deerpath Capital
2 weeks ago
Description
Company Description
Deerpath Capital is a leading direct lending firm specializing in providing first lien, senior debt financing to middle market companies. Deerpath is focused on providing debt capital for acquisitions, refinancings, ownership transitions and growth capital to companies in the U.S. lower middle market. Deerpath has investment offices in New York, Boston, Chicago, Los Angeles and Fort Lauderdale, as well as overseas investor relations offices in London, Seoul, Tokyo and Brisbane. The firm employs approximately 100 employees globally and manages more than $7.0 billion in assets as of 12/31/23.
Apply below after reading through all the details and supporting information regarding this job opportunity.
Position Overview
This position will assist in the management of the compliance programs' policies, reporting and practices for Deerpath. Under the direction of the Compliance Director, the Compliance Associate will be responsible for applying compliance policies and procedures to business practices, documenting the assessment, testing of supervisory controls, fostering compliance related initiatives, maintaining policies and procedures, monitoring and creating controls.
Primary Responsibilities
Deerpath Capital Management, LP is an equal opportunity employer committed to diversity and inclusion. We are pleased to consider all qualified applicants for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, age, disability, protected veteran status or any other protected characteristics
