Assistant Vice President of Compliance
About The Position
Monroe Capital is seeking an experienced and strategic compliance Assistant Vice President of Compliance to assist in implementing and overseeing the firm's global regulatory compliance program. This role will work closely with the firm’s Head of Compliance & Operational Risk, Chief Compliance Officer (CCO) to implement, maintain, and oversee strategy, programs, policies, and practices with regards to regulatory compliance and risk mitigation for its registered investment advisor and broker-dealer 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. This role requires a strong, proactive business partner who can anticipate regulatory impacts, manage complex conflicts of interest, and ensure compliance is an enabler of the firm's strategic objectives—all while fostering a culture of high ethical standards.
Requirements
- 7+ years of related experience (within the compliance function of a SEC registered investment adviser and FINRA registered firm)
- 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 investment trusts, and other emerging investment products
Nice To Haves
- FINRA Series 7 and/or Series 24 preferred
Responsibilities
- Assist with further developing and managing the Firm’s 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 Firm’s 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 Firm’s registered investment advisors, business development companies (“BDCs”) and other investment products
- 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
Benefits
- 401(k) eligibility
- various paid time off benefits such as vacation, sick time and parental leave
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What This Job Offers
Job Type
Full-time
Career Level
Mid Level
Education Level
No Education Listed
