Senior Compliance Associate

Employer Summary:

Octagon Credit Investors, LLC is a 30-year-old, $33 billion below-investment grade corporate credit investment adviser focused on leveraged loan, high yield bond and structured credit (CLO debt and equity) investments. Through fundamental credit analysis and active portfolio management, Octagon’s investment team identifies attractive relative value opportunities across below-investment grade asset classes, sectors, and issuers. Octagon’s investment philosophy and methodology encourage and rely upon dynamic internal communication to manage portfolio risk. Over its history, the firm has applied a disciplined, repeatable, and scalable approach in its effort to generate attractive risk-adjusted returns for its investors.

Octagon is majority-owned by Conning, a leading global investment management firm with a long history of serving the insurance industry. Octagon’s investment expertise is complemented by Conning’s deep understanding of insurers’ portfolio requirements and constraints. Octagon and Conning are part of the Generali Investments platform, an ecosystem of asset management firms operating in more than 20 countries, offering distinctive strategies and expert insights to help investors achieve long-term performance. Generali Investments is the asset management arm of the Generali Group, one of the world's largest insurance and asset management groups.

Octagon believes that providing a challenging and rewarding career, combined with a supportive work environment, incents employees to remain at the firm. Significant employee ownership and low employee turnover also underscore our culture of partnership, teamwork, and dedication to preserving investor capital across all our funds/accounts under management. We also embrace the principles of diversity, equity, and inclusion; our employees can bring the best version of themselves to work every day. We thrive in an environment where everyone’s voice is heard, every idea counts, and the differences of our employees are valued.

Position Summary:

The Senior Associate is responsible for supporting the Compliance team with various aspects of regulatory reporting, testing, and daily compliance monitoring. We are looking for an experienced compliance professional who will take on an integral role in helping to contribute to the management of Octagon’s compliance program.

Essential Duties and Responsibilities:

• Active monitoring of advisory and broker-dealer activities to ensure compliance with policies & procedures
• Deep knowledge and administration of the firm’s compliance testing program under 206(4)-7 and books and records oversight to ensure effectiveness
• Contribute to the administration of the firm’s Code of Ethics, which includes numerous policies such as Personal Securities, management of MNPI/Conflicts of Interest, etc.
• Active monitoring and research of regulatory rules and coordination of policy updates and implementation
• Deliver comprehensive compliance education and training programs to employees at all levels
• Answer questions pertaining to the firm’s compliance policies, apply judgment in response to day-to-day questions, and follow up with solutions/process improvement
• Assist in the preparation, documentation, and submission of Form ADV, Form PF, Form 13F and other regulatory, federal, state and governmental filings and help manage ongoing filing matters
• Prepare for and respond to regulatory inquiries, examinations, internal and external audits
• Participate in various internal Committees and assist by creating meeting materials
• Facilitate 40 Act compliance requirements and assist with reviews of private credit investments subject to 40 Act requirements, including those for BDCs
• Facilitate clients’/funds’ reporting including 40 Act, Private Funds and non-US jurisdictions and compliance review of marketing materials
• Assist with Compliance review of portfolio management process, which includes trade monitoring, testing and error correction, and active assessment of conflicts of interest
• Establish expertise in company products and overall business needs
• Proactively engage in any ad-hoc or special projects that may arise

Areas of Knowledge, Skills, and Abilities/Qualifications:

• 5 years of Investment Adviser Compliance experience
• FINRA Series 7, 63, and 24 (optional)
• Candidates holding a J.D. are welcome
• Working knowledge of the following: Private Credit, 40 Act Funds, Collateralized Loan Obligations (CLOs), and/or legal knowledge (i.e., fund structure, regulatory research, transactions, governance, etc.)
• Regulatory reporting (e.g., Form ADV, Form PF, AIFMD/foreign filings), including coordination with peers and service providers, analysis of instructions, and processing data
• Ability to analyze and partner with stakeholders to implement new regulatory requirements
• Sophisticated conflict and risk assessment capability, including ability to analyze MNPI and ability to exercise discretion and judgment
• Strong proficiency in Microsoft Office applications
• Excellent written and oral communication skills, strong analytical skills, and exemplary attention to detail
• Ability to multi‐task, be proactive, work independently, and work effectively under pressure (often under deadlines and changing priorities)
• Highly motivated, proactive team player with a positive attitude
• Outstanding reputation of professional integrity and maturity
• Ability to clearly articulate views and supporting data

Compensation and Benefits:

• Competitive salary and eligibility for year-end performance-based bonus
• Medical, dental, vision, life, and disability insurance
• Commuter benefits
• 401(k) matching program
• Employee Assistance Program (“EAP”)
• Professional designation and licensure assistance
• Family support and leaves of absence

Contact:

Contact: careers@octagoncredit.com

Attention: Howard Barkin, Recruitment Manager

Please note that Octagon does not sponsor work visas or immigration-related employment benefits. We encourage all individual applications; please, no recruiters or agencies.