Position Overview

Monroe Capital is seeking an experience and strategic compliance Assistant Vice President of Compliance to assist in implementing and overseeing the firm's global regulatory compliance program. This role will work closely with the firm's Head of Compliance & Operational Risk, Chief Compliance Officer (CCO) to implement, maintain, and oversee strategy, programs, policies, and practices with regards to regulatory compliance and risk mitigation for its registered investment advisor and broker-dealer entities. The Firm is seeking a candidate that will bring valuable expertise and be able to effectively communicate with internal and external stakeholders on complex compliance matters in a direct and simple manner. The Assistant Vice President of Compliance must be confident and proactive, with the versatility of assisting and managing micro and macro compliance activities and actions.

This role requires a strong, proactive business partner who can anticipate regulatory impacts, manage complex conflicts of interest, and ensure compliance is an enabler of the firm's strategic objectives-all while fostering a culture of high ethical standards.

Duties andResponsibilities

• Assist with further developing and managing the Firm's risk management program, including in-depth analysis of procedures within various departments to identify process improvements in terms of efficiency (including systems recommendations) and risk mitigation
• Identify areas of further development within the compliance program as the Firm's continues to rapidly grow
• Establish a proactive presence with the management team with a focus on strategic business planning and development of the compliance oversight program, and risk mitigation associated with new organizational initiatives
• Assist with updating and maintain the compliance programs for the Firm's registered investment advisors, business development companies ("BDCs") and other investment products
• Manage outsourced third-party compliance relationships (vendors, consultants, etc)
• Foster a compliance culture for efficiently and effectively managing compliance throughout the organization
• Implement and maintain a Broker/Dealer compliance program consistent with FINRA requirements

Requirements

• 7+ years of related experience (within the compliance function of a SEC registered investment adviser and FINRA registered firm)
• FINRA Series 7 and/or Series 24 preferred
• Knowledge of sophisticated investment offerings across multiple jurisdictions, ideally with a focus on private credit and with exposure to private equity style funds, BDCs, real estate investment trusts, and other emerging investment products

Physical Requirements

• Stationary Work: Able to remain in a stationary position for extended periods while performing computer work, phone communication, and administrative tasks.
• Movement: Occasionally moves about the office to access files, supplies, meeting rooms, or other work areas.
• Reaching/Positioning: Occasionally positions self to access shelves, organize materials, or retrieve office supplies.
• Computer and Equipment Use: Regularly operates a computer and other standard office productivity equipment (e.g., phone, printer, copier).
• Communication: Able to communicate effectively in person, over the phone, and through electronic methods as required to perform essential job duties.

Compensation

It is expected that the base salary range for this position will be $160-175,000. Actual salaries may vary based on factors such as skills, experience, and qualifications for the role. The total compensation package for this position may also include other elements and discretionary awards in addition to a full range of medical, financial and / or other benefits (including 401(k) eligibility and various paid time off benefits such as vacation, sick time and parental leave) dependent on the position offered. Details of participation in these benefit plans will be provided if an employee receives an offer of employment. If hired, the employee will be in an 'at-will position' and the Firm reserves the right to modify base salary (as well as any other discretionary payment or compensation program) at any time including for reasons related to individual performance, Firm or individual department / team performance and market factors.

Disclaimer

The above statements are intended to describe the general nature and level of work being performed by people assigned to this classification. They are not to be construed as an exhaustive list of all responsibilities, duties, and skills required of personnel so classified. All personnel may be required to perform duties outside of their normal responsibilities from time to time, as needed.