Job DescriptionThis role offers a unique opportunity to engage deeply across all facets of the compliance program and to contribute as a trusted advisor and subject matter expert. The successful candidate will help advance the firm's compliance framework by: (1) Providing thoughtful, practical guidance on the application of global regulations, evolving industry developments, and best practices in support of our private credit strategy and fund structures and the general growth of the firm's asset management transactional activities; (2) Interpreting and operationalizing compliance policies and procedures to align with the firm's existing and newly developing products and business activities and the firm's expanding jurisdictional reach; (3) Leading and coordinating the implementation of new regulatory requirements and enhancements to existing frameworks; and (4) Partnering cross-functionally to represent Compliance in enterprise-wide initiatives, while supporting day-to-day matters and broader program oversight.
This position is designed for impact and growth, with a path to expand responsibilities over time, including the potential to evolve into a Deputy CCO role.
Responsibilities- Assist in the oversight of the firm's compliance program through development and enhancement of the processes and procedures required to comply and align with all laws, regulatory rules, and relevant firm policies.
- Identify potential areas of compliance vulnerability and risk. Develop and implement corrective action plans for resolution of problematic issues and provide general guidance on how to avoid or deal with similar situations in the future.
- Assist in management of the firm's compliance risk assessment that focuses on the identification and evaluation of Compliance risks throughout the company.
- Lead and participate in cross-functional teams of internal staff and be responsible for complex projects.
Qualifications- A minimum of 8-10 years of relevant compliance experience in the asset management industry (private debt experience preferred).
- Law firm, in-house and/or SEC experience a plus, JD preferred.
- Proven knowledge and experience in the regulation of registered investment advisers and Business Development Companies. Comprehensive knowledge of US laws applicable to investment advisers, including the Investment Advisers Act of 1940 and Investment Company Act of 1940.
- Ability to identify regulatory and compliance issues, propose solutions and raise significant issues to firm leadership.
- Strong work ethic and comfortable working in a fast-paced environment while also learning.
- Excellent verbal and written communications skills with the ability to understand, simplify and communicate internal and external regulations, risks, laws, and policies in a clear, focused, and concise manner. Ability to tailor communication (verbal and written) to multiple target audiences with different levels of compliance acumen.
Skills- Ability to influence others via a service-minded orientation, build trust and work cross-functionally within the organization and with outside regulatory bodies.
- Experience with Microsoft Suite including: Word, Excel, PowerPoint, and Outlook or comparable software application (SharePoint experience preferred, but not required).
- Ability to analyze and evaluate data, forming accurate conclusions and translating insights into action.
Competencies- Strategic thinking and decision making: Applies strong business and market insight and expertise to shape functional/team strategy, solves complex problems, recommends best practices, makes high quality decisions, anticipates future needs and delivers stakeholder aligned value.
- Drives execution and results: Translates enterprise and functional goals into clear initiatives within their scope. Remove barriers and drives teams or others to deliver timely and high-quality results.
- Cultivates strategic relationships and influence: Builds strong internal and external relationships, understands organizational dynamics to influence stakeholders and communicates with impact to align perspectives and advances functional goals.
- Fosters an inclusive culture and leads teams to achieve excellence: Role models and shapes an inclusive and high performing culture by leading or working across teams and functions, setting clear expectations and developing talent to enable strong organizational performance.
- Demonstrates strong self-awareness, integrity, and a growth mindset, adapts leadership to build trust and influence outcomes, challenges assumptions with courage, mitigates risk responsibly, clearly articulates viewpoints verbally and in writing, and guides others through change with confidence and resilience.
- Innovation: Champions innovation by raising new ideas, leveraging data and technology tools (including, as applicable, artificial intelligence) to improve team/function performance and capability.
The Fine Print- Must have unrestricted authorization to work in the United States.
- Must be willing to comply with pre-employment screening, including but not limited to drug testing, reference verification, and background check.
- Must be willing to work from the Chicago or New York office.
A reasonable estimate of the current base salary range at the time of posting is below. Base salary does not include other forms of compensation or benefits. Actual base salary within the specified range is comprised of several components, including but not limited to applicant's skill, prior relevant experience, specific degrees and certifications, job responsibilities, market considerations and the location of the position.
This role is eligible for a discretionary annual bonus (based on company, business unit and individual performance).
Our benefit offerings include medical, dental and vision coverage, employer paid short & long-term disability and life insurance, 401(k), profit sharing, paid time off, Maven family & fertility benefit, parental leave (including adoption, surrogacy, and foster placement), as well as other voluntary benefits.
Base Salary Range
$200,000 - $230,000
To learn more, visit www.antares.com.
