Compliance Officer

Position Information

Hiring Manager:

Department:

Department Overview

The Legal & Compliance Department is responsible for managing legal risk and attorney advice for each of the Firm's functions. The Legal & Compliance Department also manages the Firm's regulatory profile under relevant securities laws on a global basis. Key functions within the Legal & Compliance Department include fund structuring, contract and entity management, compliance administration, special projects and institutional risk mitigation. The breadth of the Firm’s operations and products requires a diverse set of talents and capabilities among members of the Legal & Compliance Department and we look for individuals who can contribute meaningfully to one of more of these areas. As the Firm continues to grow, the Legal & Compliance Team continues to expand its staff and the areas of their expertise. The Legal & Compliance Department collaborates closely with Firm leadership and business unit heads to provide legal solutions to our growing business. 

Position Responsibilities

The Firm is seeking a Compliance Officer to manage certain aspects of the Firm’s compliance program. A thorough understanding of the Firm’s products, services and regulatory framework is necessary in this role. This person will lead and manage routine and special projects on behalf of the broader Legal & Compliance Department.

Responsibilities include, but are not limited to:

• Managing and supporting AML / KYC-related compliance responsibilities, including investor due diligence, onboarding, periodic reviews and related policies, procedures and controls
• Preparing, managing and completing regulatory filings, including Form ADV, Form PF and / or applicable regulatory submissions
• Acting as a subject matter expert overseeing implementation, monitoring and testing of the Firm’s regulatory compliance controls 
• Establishing and enhancing compliance standards and designing and implementing improvements to internal control structures
• Developing and executing special or enhanced monitoring and testing techniques for new, complex or high-risk requirements or in response to certain weaknesses discovered through routine assessments, testing, audits or exams
• Reviewing advertising and sales materials, correspondence, investor communications and investor reports and other documents to ensure that these materials meet SEC advertising regulations and other regulatory rules and internal quality control standards
• Investigating and resolving compliance-related issues and advising senior management on compliance matters
• Assessing control design and effectiveness to mitigate compliance risk
• Managing certain special projects related to the Legal & Compliance Department as needed, e.g., policy updates due to regulatory changes, research and recommend solutions related to compliance matters
• Staying apprised of regulatory matters and developments through reading, research and trainings through online webinars and conferences and assist with exam preparedness efforts
• Collaborating internally with other members of the Legal & Compliance Department to ensure consistent standards and effective communication

Candidate Requirements

Qualifications & Experience:

• Bachelor’s degree or equivalent education required; JD from a top-tier institution preferred
• 8+ years of relevant experience including experience with the Investment Advisers Act of 1940 and / or the Investment Company Act of 1940
• Knowledge and understanding of regulatory and industry best practices developments, particularly in the areas of compliance, corporate governance and risk management
• Preference for previous exposure to and broad understanding of the credit asset management business
• Strong analytical skills with experience in prioritization, issue identification and resolution
• Strong project management skills, ability to review materials quickly and ability to drive and meet deadlines
• Skilled in business writing and editing with strong attention to detail
• Quick learner who has an ability to grasp complicated financial concepts
• Team oriented with the ability to build relationships and earn the respect of others
• Self-starter with the ability to manage projects independently
• Ability to handle sensitive matters at all levels of the organization with discretion and confidentiality
• Ability to anticipate and react quickly to the evolving financial services regulatory environment
• Demonstrated knowledge base and stature to deliver solution-oriented advice in a manner that is respected and valued by business and staff group leaders and constituents
• Demonstrated ability to effectively leverage AI tools in day-to-day work, with strong critical thinking to assess accuracy, limitations and appropriate use of AI generated outputs
• Enthusiastic about working in office and creating a Gold Standard hybrid work culture

Critical Competencies for Success

Our Gold Standards define key behaviors and competencies across 4 dimensions:  Leadership, Achieving Results, Personal Effectiveness and Thinking Critically. These behaviors and competencies drive our ability to win together. 

• Leadership:  Role models in this area consistently focus on the right goals and priorities and continually develop themselves and others. Always team players, they influence and engage with others to contribute to a supportive and inclusive culture where all feel welcome.

• Achieving Results:  Role models in this area are high achievers who develop careful plans and deliver consistently and effectively. They hold themselves and others accountable for delivering high quality results, and they remove barriers to ensure others can contribute and grow.

• Personal Effectiveness:  Role models in this area build strong relationships, treat others with respect and communicate effectively. They are driven to exceed expectations and are adaptable to changing circumstances.

• Thinking Critically:  Role models in this area understand our business, rely on analytical reasoning and seek diverse perspectives to solve problems. They are forward thinking, anticipating issues and addressing them in advance.

The department-specific competencies define the knowledge, skills and abilities that are needed to successfully perform the functional or technical work of this role.

• Industry Knowledge:  Demonstrates an understanding of the Firm's position in the industry, including its complex structure and competitive advantage in the marketplace. Monitors industry trends and changes and recognizes their relevancy and implications.

• Technical Communication and Documentation:  Documents and communicates technical processes and procedures in area of specialty to stakeholders. Adapts the level of detail and specificity based on the needs of the intended audience.

• Compliance:  Ensures compliance with laws and regulations and stays current with legislative and regulatory changes that impact the Firm.

• Contract Management:  Leverages an understanding of the regulatory, legal and compliance elements of contracting to interpret and ensure adherence to contract agreements throughout the lifecycle of agreements.

• Negotiation:  Applies advanced negotiating techniques and a consultative approach with customers and internal stakeholders to compliantly create measurable short- and long-term values that leads to mutually beneficial outcomes.

• Project / Program Management:  Manages projects and / or programs through planning, identifying resources, monitoring and communicating project activities and assessing impacts of project decisions.

Compensation and Benefits

Golub Capital is an Equal Opportunity Employer.

Due to the highly regulated nature of Golub Capital’s business and because of the sensitivity of the information that all personnel have access to, Golub Capital performs extensive and thorough pre-hire screens to ensure that its personnel act with expected levels of integrity, professionalism and personal responsibility.

Please review Golub Capital’s US Job Applicant privacy notice and, for California residents, the California Applicant privacy notice for information on how your personal data is collected, processed and stored.