Sr. Analyst, Compliance

ABOUT OFS:

Established in 1994, OFS is a full-service provider of capital and leveraged finance solutions to U.S. corporations. With a more than 25-year history, OFS has developed a disciplined approach to provide reliable, innovative, and flexible credit solutions to U.S.-based businesses that are underserved by traditional lenders. OFS provides flexible debt financing to support recapitalizations, leveraged buyouts, and growth capital. OFS is an affiliate of CIM Group. Join us and make an impact today!

POSITION PURPOSE:

The Senior Compliance Analyst will be responsible for acting as one of the primary points of contact for corporate personnel, regarding compliance with our Code of Ethics and compliance policies and use of compliance-related reporting systems, and assisting the Compliance team with day-to-day operations.

• Assist personnel with Code of Ethics-related questions, including those related to personal trading, political activity and gifts and entertainment
• Oversee and administer the Firm’s automated compliance systems, including, compliance certifications campaigns, connecting, terminating and reconciling brokerage account feeds, monitoring personal securities transactions, political contributions and outside activities reporting and managing related disclosures and preapproval requests
• Coordinate new employee onboarding and compliance reporting
• Conduct in-person new hire training on compliance-related policies and procedures
• Investigate and document suspected and actual violations of firm policies
• Assist with the administration of the Firm’s anti-money laundering policies and procedures, including the performance of OFAC checks
• Assist with quarterly and annual testing and monitoring of policies and procedures
• Respond to requests to access a third-party virtual data room and maintain associated records
• Update the Firm’s Restricted List, Watch List and Private Companies List
• Reconcile investment transactions with investment compliance forms and maintain associate records
• Draft and distribute compliance department communications to convey and reinforce applicable laws and regulations, ethical standards and compliance policies.
• Provide guidance and training, as necessary, to third-party compliance service providers.
• Assist with compliance project initiatives
• Coordinate quarterly and yearly documentation as per auditors’ requests
• Assist with the development and update of compliance policies and procedures and department desktop procedures
• Assist Compliance Team with Form ADV and Form PF filings
• Assist with the monitoring of Firm electronic business communications program, including email review, updates to automated email archive system, as appropriate, and mobile device management systems
• Manage relationships with outside compliance vendors
• Identify and implement IT-based compliance solutions
• Providing ad hoc reporting of compliance activities as required

• Bachelor of Arts or Bachelor of Science with related experience or equivalent experience in Compliance
• Minimum of 4 years experience in Investment Advisers compliance
• Proficiency in Microsoft Office including Word, Excel
• Proficiency and adaptability with evolving technologies
• Proficiency in Document Management Systems software (e.g., SharePoint, DocuSign)

• Ability to read and comprehend instructions
• Ability to read and interpret applicable regulations and regulatory guidance, including the Investment Advisers Act of 1940 and Investment Company Act of 1940
• Ability to develop and maintain effective working relationships, including but not limited to providing guidance to employees and service vendors and applying appropriate judgment and insight on project initiatives
• Ability to maintain strict confidentiality and discretion in handling highly sensitive and confidential matters
• Ability to communicate, orally and in writing, with individuals at all levels of OFS and with outside law firms, regulatory agencies and the like
• Strong organization and time management skills and self-management
• Ability to apply common-sense understanding to carry out written and oral instructions
• Completion of tasks in a timely manner
• Ability to work with moderate supervision
• Attention to detail and accuracy in work product
• Ability to prioritize and work under a tight schedule
• Must be motivated and a self-starter and have an intellectual curiosity about the role

OFS is committed to creating a successful diversity, equity and inclusion (“DEI”) program in which ALL employees recognize and understand individual differences and how we can adjust our preconceived biases and perceptions of others and, thereby, promote an inclusive environment at OFS based on its core tenets of Honesty, Integrity, Kindness and Respect. As an equal opportunity employer, we prohibit any unlawful discrimination against a job applicant on the basis of their race, color, religion, gender, gender identity, gender expression, sexual orientation, national origin, family or parental status, disability*, age, veteran status, or any other status protected by the laws or regulations in the locations where we operate. We respect the laws enforced by the U.S. Equal Employment Opportunity Commission (EEOC) and are dedicated to going above and beyond in fostering diversity across our workplace.

*Applicants with disabilities may be entitled to reasonable accommodation under the terms of the Americans with Disabilities Act and certain state or local laws. A reasonable accommodation is a change in the way things are normally done which will ensure an equal employment opportunity without imposing undue hardship on OFS. Please inform our Talent team if you need any assistance completing any forms or to otherwise participate in the application process.

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