Compliance Officer

Sixth Street•New York, NY

6d•$175,000 - $200,000

About The Position

Sixth Street’s Compliance team partners with all aspects of Sixth Street to build and maintain a best-in-class compliance program that addresses applicable regulatory requirements and industry best practices. The Compliance Officer will be a key team player in managing, executing, and enhancing the firm’s marketing and distribution process. The Compliance Officer will also drive key compliance-related projects and initiatives, including those pertaining to Sixth Street’s Global Capital Markets platform, compliance testing, training, regulatory filings, and designing, implementing and advising on policies and procedures.

Requirements

Highly motivated, entrepreneurial, and team-oriented candidates
Ownership mentality / Entrepreneurial mindset
High energy and integrity
Highly curious and motivated
Self-starter who requires little direction
Strong analytical and problem-solving skills
Strong combination of organizational and interpersonal/communication skills
Strong academic credentials

Nice To Haves

5+ years of relevant compliance experience at an asset manager or private fund investment adviser
Strong understanding of SEC Marketing Rule and application of rule in private fund marketing
Bachelor’s Degree; MBA and/or JD [optional]
Detail-oriented, responsible and proactive
Ability to handle multiple tasks simultaneously and work under pressure
Strong written and oral communication skills
Deadline-oriented to meet time-sensitive contractual requirements
Candidate must be self-motivated and willing to work in a team environment across multiple offices
Ideal candidate will be a team player, able to work collaboratively across different teams, and train team members on areas of expertise

Responsibilities

Own the marketing material review and approval process for high volumes of marketing materials, due diligence questionnaires, social media, and investor relations materials to ensure compliance with all applicable regulations, including SEC, FINRA and other relevant guidelines
Utilize deep understanding of the SEC Marketing Rule to act as a key advisor to Sixth Street’s Capital Formation and Strategy team on private fund and separately managed account marketing
Manage and maintain Sixth Street’s Global Capital Markets compliance program
Collaborate with senior internal stakeholders on future business growth areas by organizing and managing regulatory workstreams
Manage and drive regulatory reporting obligations (e.g., ADV, Form PF)
Design and draft policies and procedures and lead new compliance initiatives as the compliance environment and business evolves
Enhance compliance workflows and create efficiencies in processes by collaborating with Engineering in utilizing technology and AI
Review regulatory developments and implement procedures to ensure platform compliance with all applicable rules and regulations