In-House
Nashville, TN
Attorney in Nashville, TN
Non-practicing Attorney
5-10 yrs required
No
Job Title: Senior Compliance Officer - Credit
Job Responsibilities:
The Senior Compliance Officer will play a crucial role in supporting the Credit Investments Group (CIG) of the company's Asset Management division, which manages over $50 billion in assets globally. The responsibilities include:
- Acting as a subject-matter expert for the CIG business, providing independent advice, challenge, and control to the business' compliance risk-taking.
- Assisting in the administration, maintenance, and improvement of compliance policies, procedures, and processes of CIG, aligning them with those of the company's Asset Management and the broader company's Americas organization.
- Assessing the impact of regulatory developments, supporting regulatory change management efforts, and providing regulatory updates to the business.
- Evaluating trading, information barrier, and specialist network requests.
- Influencing investment team members within CIG on key compliance risks and their mitigation strategies.
- Advising CIG on, and evaluating projects, new initiatives, business objectives, policies, procedures, processes, risk events, controls, and/or compliance testing and monitoring.
- Leading and assisting with the development, maintenance, and delivery of compliance training programs.
- Handling periodic reporting and regulatory filings, including Form ADV.
- Performing the annual 206(4)-7 compliance review.
- Contributing to the development, deployment, and enforcement of the company's Asset Management Code of Ethics.
Education and Experience Information:
- Ideally, 5 to 10+ years of experience in asset management compliance at a global financial services institution, asset manager, regulatory agency, or major consulting firm, particularly covering credit funds or alternative investments.
- Experience with bank loans, private credit, high-yield bonds, and CLOs is strongly desired.
- Expertise in securities regulation is essential, including familiarity with the Investment Advisers Act, the Investment Company Act, the Commodity Exchange Act, and/or the Securities Exchange Act, as well as a thorough understanding of legal and regulatory expectations related to private funds, separately managed accounts (SMAs), and registered investment companies. Experience with bank-affiliated asset management is a plus.
- Knowledge of front-to-back asset management operating models, including operational procedures, investment processes, and applications used, is beneficial.
- A bachelor's degree in a relevant area of study is required. A graduate degree, such as an MBA or JD, is a plus.
- The candidate should be structured, rigorous, analytical, holistic, and thorough in their approach, with sound judgment and common sense. They should be able to form defensible conclusions from risk assessments and be able to "stand their ground" when necessary.
- Excellent interpersonal skills are crucial, along with being a collegial and friendly team player.
- The ability to articulate views, assessments, and approaches both verbally and in writing precisely, concisely, and persuasively is essential.
- The ability to present to and respond effectively to senior internal and external stakeholders, including regulators, is required.
- The capacity to calmly manage conflicting priorities and pressure in a demanding, high-paced, and high-volume environment is necessary.
- Dedication to fostering an inclusive culture and valuing diverse perspectives is important.
Salary Information:
- For Weehawken, New York, and Chicago, the salary range for this role is $150,000 to $203,000.
- For Raleigh and Nashville, the salary range is $120,000 to $160,000.
- The expected salary range for this role is based on factors including experience, qualifications, education, location, and skill level. This role may also be eligible for discretionary incentive compensation. For benefits information, candidates are directed to visit the company's benefits webpage.
About the Company:
Join Us:
The company values its people, recognizing that diverse skills, experiences, and backgrounds drive ongoing success. The company is dedicated to fostering an inclusive culture that brings out the best in its employees, offering new challenges, a supportive team, opportunities to grow, and flexible working options when possible. Collaboration is at the heart of the company's operations, emphasizing that together, employees are more than themselves.
Disclaimer / Policy statements:
The company is an Equal Opportunity Employer, respecting and seeking to empower each individual and supporting the diverse cultures, perspectives, skills, and experiences within its workforce.
Jul 23, 2025
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Jul 10, 2025
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