💼 About This Role

You'll lead the day-to-day compliance program for an SEC-registered investment manager, overseeing a team of two professionals. You'll ensure adherence to the Investment Company Act and Advisers Act while supporting the CCO. This role offers the opportunity to become CCO of at least one registered investment company.

🎯 What You'll Do

• Conduct compliance oversight of credit investment activities.
• Direct risk assessments and testing of OFS operations.
• Draft and update compliance policies and procedures.
• Review marketing materials and regulatory filings.

📋 Requirements

• 10+ years compliance experience at an SEC-registered investment manager or SEC staff.
• 3+ years investment company compliance experience.
• Working knowledge of Investment Advisers Act of 1940 and Investment Company Act of 1940.
• Experience with credit investments (CLOs, BSLs, CMBS, direct lending).

✨ Nice to Have

• Trade compliance experience.
• Experience managing a compliance team.

🎁 Benefits & Perks

• 🏖️ Hybrid work flexibility
• 💼 Leadership development
• 🏢 Downtown Chicago office
• 📚 Professional development

🚩 Heads Up

• Mismatch: title '1st Vice President' but requires 10+ years (lead level) not director/vp.