What are the responsibilities and job description for the Regulatory Compliance Officer and Counsel position at Larson Maddox?
A large, growing private credit firm is seeking a qualified individual to join their Compliance team, reporting directly to the Chief Compliance Officer. This role offers exposure to senior management and involvement in all aspects of the compliance program, working closely with Legal and other stakeholders. The ideal candidate will support compliance efforts, including advising on regulatory rule proposals and industry trends across investment management and private funds. The role will manage and coordinate regulatory change and policy implementation projects and assist in day-to-day compliance issues and program oversight.
Qualifications:
- 10 years of compliance experience in asset management (private debt/credit preferred).
- Law firm, in-house, and/or SEC experience a plus; JD preferred.
- Strong knowledge of US laws applicable to investment advisers such as the Investment Company Act of 1940 and the Investment Advisers Act of 1940
- Experience working with register investment advisor compliance, BDC compliance, and working directly with regulators
Salary : $200,000 - $225,000
