Compliance Analyst

Company:  Deerpath Capital
Location: London
Closing Date: 14/07/2024
Hours: Full Time
Type: Permanent
Job Requirements / Description
Company DescriptionDeerpath Capital is a leading direct lending firm specializing in providing first lien, senior debt financing to middle market companies. Deerpath is focused on providing debt capital for acquisitions, refinancings, ownership transitions and growth capital to companies in the U.S. lower middle market. Deerpath has investment offices in New York, Boston, Chicago, Los Angeles and Fort Lauderdale, as well as overseas investor relations offices in London, Seoul, Tokyo and Brisbane. The firm employs approximately 100 employees globally and manages more than $7.0 billion in assets as of 12/31/23.Position OverviewThis position will assist in the management of the compliance programs’ policies, reporting and practices for Deerpath. Under the direction of the Compliance Director, the Compliance Associate will be responsible for applying compliance policies and procedures to business practices, documenting the assessment, testing of supervisory controls, fostering compliance related initiatives, maintaining policies and procedures, monitoring and creating controls. Primary ResponsibilitiesAssist the Compliance Director with the firm’s Compliance Program which consists of SEC compliance, State specific compliance and compliance in International jurisdictions (particularly UK & EEA)Review and apply company’s compliance policies outlined in the Code of Ethics, Compliance Manual, AML/KYC policy and other policy documentsAssist with Fund Compliance registration, marketing and reporting requirementsMonitor and create control systems to test internal policies, document results and recommend effective enhancementsCreate and maintain reports, logs, and organized recordsParticipate in administrating compliance trainings to new employeesProvide compliance support to the company and stake holdersAssist with Compliance Program in generalDesired Skills & ExperienceBachelor’s degree in business, finance, accounting, statistics, economics, international relations/business, or related field3-5 years’ experience working in compliance, legal, regulatory or financial services rolesPrivate debt/equity, hedge fund and registered investment advisor experience a plusFund Compliance, Cybersecurity, AML/KYC and Marketing Materials review experience a plusUnderstanding of industry processes and existing business regulations preferredStrong problem solving and data analytical skillsPrevious customer/client service experience preferredAbility to handle multiple tasks and properties simultaneouslyTeam oriented, positive attitude and goal drivenCommitment to accuracy and qualityNO RECRUITERS or AGENCIES for this posting. Any unsolicited resumes sent to Deerpath will be considered Deerpath property. Deerpath will NOT pay a fee for any placements resulting from the receipt of any unsolicited resumes.Deerpath Capital Management, LP is an equal opportunity employer committed to diversity and inclusion. We are pleased to consider all qualified applicants for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, age, disability, protected veteran status or any other protected characteristics
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Deerpath Capital
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