Job Description

Houston based BDC is seeking a junior/mid level compliance associate to join their growing team! Will work directly with the CCO as part of a two person team!

• Experience with MYCOMPLIANCEOFFICE is highly desirable
• 2-6yrs
• In office 4-5x per week

• Assist in managing all aspects of the company’s regulatory compliance system
• Monitor compliance with company policies and procedures
• Maintain monthly compliance calendar and ensuring timely completion of routine compliance matters
• Conduct targeted ad hoc and periodic testing of company policies and procedures in accordance with the Investment Company Act of 1940 and the Investment Advisers Act of 1940
• Review personal trading, political contribution and outside activity requests
• Assist with oversight of investments to ensure compliance with company policies and procedures
• Prepare supporting analysis regarding compliance issues/incidents
• Assist with monitoring applicable U.S. regulations
• Assist in the preparation of regulatory filings
• Assist in the development of compliance training programs

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