Compliance Officer

Golub Capital•Chicago, IL

3d•$165,000 - $220,000•Hybrid

About The Position

The Legal & Compliance Department is responsible for managing legal risk and attorney advice for each of the Firm's functions. The Legal & Compliance Department also manages the Firm's regulatory profile under relevant securities laws on a global basis. Key functions within the Legal & Compliance Department include fund structuring, contract and entity management, compliance administration, special projects and institutional risk mitigation. The breadth of the Firm’s operations and products requires a diverse set of talents and capabilities among members of the Legal & Compliance Department and we look for individuals who can contribute meaningfully to one of more of these areas. As the Firm continues to grow, the Legal & Compliance Team continues to expand its staff and the areas of their expertise. The Legal & Compliance Department collaborates closely with Firm leadership and business unit heads to provide legal solutions to our growing business. The Firm is seeking a Compliance Officer to manage certain aspects of the Firm’s compliance program. A thorough understanding of the Firm’s products, services and regulatory framework is necessary in this role. This person will lead and manage routine and special projects on behalf of the broader Legal & Compliance Department.

Requirements

Bachelor’s degree or equivalent education required
8+ years of relevant experience including experience with the Investment Advisers Act of 1940 and / or the Investment Company Act of 1940
Knowledge and understanding of regulatory and industry best practices developments, particularly in the areas of compliance, corporate governance and risk management
Strong analytical skills with experience in prioritization, issue identification and resolution
Strong project management skills, ability to review materials quickly and ability to drive and meet deadlines
Skilled in business writing and editing with strong attention to detail
Quick learner who has an ability to grasp complicated financial concepts
Team oriented with the ability to build relationships and earn the respect of others
Self-starter with the ability to manage projects independently
Ability to handle sensitive matters at all levels of the organization with discretion and confidentiality
Ability to anticipate and react quickly to the evolving financial services regulatory environment
Demonstrated knowledge base and stature to deliver solution-oriented advice in a manner that is respected and valued by business and staff group leaders and constituents
Demonstrated ability to effectively leverage AI tools in day-to-day work, with strong critical thinking to assess accuracy, limitations and appropriate use of AI generated outputs

Nice To Haves

JD from a top-tier institution preferred
Previous exposure to and broad understanding of the credit asset management business

Responsibilities

Managing and supporting AML / KYC-related compliance responsibilities, including investor due diligence, onboarding, periodic reviews and related policies, procedures and controls
Preparing, managing and completing regulatory filings, including Form ADV, Form PF and / or applicable regulatory submissions
Acting as a subject matter expert overseeing implementation, monitoring and testing of the Firm’s regulatory compliance controls
Establishing and enhancing compliance standards and designing and implementing improvements to internal control structures
Developing and executing special or enhanced monitoring and testing techniques for new, complex or high-risk requirements or in response to certain weaknesses discovered through routine assessments, testing, audits or exams
Reviewing advertising and sales materials, correspondence, investor communications and investor reports and other documents to ensure that these materials meet SEC advertising regulations and other regulatory rules and internal quality control standards
Investigating and resolving compliance-related issues and advising senior management on compliance matters
Assessing control design and effectiveness to mitigate compliance risk
Managing certain special projects related to the Legal & Compliance Department as needed, e.g., policy updates due to regulatory changes, research and recommend solutions related to compliance matters
Staying apprised of regulatory matters and developments through reading, research and trainings through online webinars and conferences and assist with exam preparedness efforts
Collaborating internally with other members of the Legal & Compliance Department to ensure consistent standards and effective communication