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Core Competencies
Role fitCore Competencies
Use this summary to align your resume positioning with the role.
Demonstrates extensive experience in compliance management within the investment sector, particularly with the Investment Advisers Act of 1940 and Investment Company Act of 1940. Capable of leading compliance teams, conducting risk assessments, and developing policies while ensuring adherence to regulatory standards.
Highest-signal resume keywords
10+ Years Compliance ExperienceInvestment Company ComplianceCredit Investment ExperiencePolicy Development and DraftingRegulatory Exam Coordination
ATS Keywords
Tailor your resumeApplicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard Skills
Compliance Program ManagementRisk AssessmentInvestment Advisers Act KnowledgeInvestment Company Act KnowledgePolicy DevelopmentCompliance OversightCode of Ethics ReviewRegulatory FilingsTraining and CoachingProject Management
Soft Skills
Detail-OrientedExcellent CommunicationOrganizational SkillsMultitasking AbilityConflict Resolution
Industry Keywords
SEC-Registered Investment ManagerCLOsBSLsCMBSDue Diligence QuestionnairesCompliance TrainingCompliance PoliciesRegulatory ComplianceInvestment ComplianceCompliance Professionals
About the role
Key responsibilities & impact- Support the CCO of CIM and OFS Management in maintaining a compliance program designed to comply with applicable federal, state, and local laws, rules, and regulations
- Manage the day-to-day OFS compliance program
- Oversee a team of two compliance professionals
- Assist with compliance programs, 38a-1 manuals, and reports for OFS-managed registered investment companies
- Assume the role of CCO of at least one investment company
- Conduct compliance oversight of credit investment activities
- Provide guidance on policies, procedures, and laws, including the Investment Company Act of 1940 and Investment Advisers Act of 1940
- Direct or participate in regular risk assessments and testing
- Draft and update compliance policies and address staff inquiries
- Review Code of Ethics disclosures and pre-clearance requests
- Provide compliance-related training
- Review marketing and advertising materials, including flipbooks and Due Diligence Questionnaires
- Make required Investment Advisers Act filings
- Coordinate responses to regulatory exams and information requests
- Assist with quarterly and annual board reporting
- Support management of periodic and special regulatory examinations
- Manage the OFS Compliance team, including work assignments, performance expectations, feedback, training, coaching, and guidance
- Lead inter-departmental compliance-related projects
Requirements
What you’ll need- 10+ years’ experience as a compliance professional at an SEC-registered investment manager and/or staff member at the Securities and Exchange Commission
- 3+ years’ experience in investment company compliance
- Credit investment experience, such as CLOs, BSLs, CMBS, or direct lending
- Working knowledge of the Investment Advisers Act of 1940 and Investment Company Act of 1940
- Ability to read, analyze, and interpret complex agreements
- Adept at conflicts identification, assessment, and resolution
- Proficiency in policy development and drafting
- Detail-oriented with the ability to multitask
- Excellent organizational and project management skills
- Professional and effective communication skills
Benefits
Comp & perks- A variety of medical, dental, and vision benefit plans
- Health Savings Account with a generous employer contribution
- Company-paid life and disability insurance
- 401(k) savings plan with company match
- Comprehensive paid time off, including vacation days, 10 designated holidays, sick time, and bereavement leave
- Up to 16 hours of volunteer time off
- Up to 16 weeks of paid parental leave
- Ongoing professional development programs
- Wellness program, including monthly and quarterly prizes
- Bonus pay in addition to base salary