Senior Compliance Officer - Compliance Officer

Title: Senior Compliance Officer (or Compliance Officer)

Location: Chicago, IL, United States

Hybrid

Job Description:

Position Responsibilities

The Firm acts as an investment adviser to onshore and offshore private funds, managed accounts and both public and private business development companies. The Firm is seeking a Senior Compliance Officer to lead certain aspects of the Firm's compliance program. A thorough understanding of the Firm's products, services and regulatory framework is necessary in this role. This person will lead and manage routine and special projects on behalf of the broader Legal & Compliance Department.

Primary responsibilities of this position will be:

• Act as subject matter expert overseeing monitoring and testing of the Firm's regulatory compliance controls
• Establish and enhance compliance standards and design and implement improvements to internal control structures
• Develop and execute special or enhanced monitoring and testing techniques for new, complex or high-risk requirements, or in response to certain weaknesses discovered through routine assessments, testing, audits or exams
• Manage and complete regulatory filings
• Review advertising and sales materials, correspondence, investor communications and investor reports and other documents to ensure that these materials meet SEC advertising regulations and other regulatory rules, as applicable, and internal quality control standards
• Investigate and resolve compliance-related issues and advise Senior Management and Board on compliance matters
• Assess control design and effectiveness to mitigate compliance risk
• Manage certain special projects related to the Legal & Compliance Department as needed, e.g., policy updates due to regulatory changes, research and recommend solutions related to compliance matters
• Serve as a subject matter expert on the implementation and execution of testing regulatory compliance controls
• Effectively communicate compliance-related issues requiring management attention
• Stay apprised of regulatory matters and developments through reading, research and training through online webinars and conferences and assist with exam preparedness efforts
• Collaborate internally with other members of the Legal & Compliance Department to ensure consistent standards and effective communication

Candidate Requirements

Qualifications & Experience:

• Bachelor's degree or equivalent education required; JD from a top-tier institution is preferred but not required
• At least 8 years of relevant experience including experience with the Investment Advisers Act of 1940 and / or the Investment Company Act of 1940
• Knowledge and understanding of regulatory and industry best practices developments, particularly in the areas of compliance, corporate governance and risk management
• Preference for previous exposure to, and broad understanding of, the credit asset management business
• Strong analytical skills with experience in prioritization, issue identification and resolution
• Strong project management skills, ability to review materials quickly and ability to drive and meet deadlines
• Skilled in business writing and editing with strong attention to detail
• Quick learner who has an ability to grasp complicated financial concepts
• Capacity and passion for being part of a fast-growing, multi-office environment
• Team oriented with the ability to build relationships and earn the respect of others
• Self-starter with the ability to manage projects independently
• Ability to handle sensitive matters at all levels of the organization with discretion and confidentiality
• Ability to anticipate and react quickly to the evolving financial services regulatory environment
• Demonstrated knowledge base and stature to deliver solution-oriented advice in a manner that is respected and valued by business and staff group leaders and constituents
• Enthusiastic about working in office and creating a Gold Standard hybrid work culture

Critical Competencies for Success

Our Gold Standards Model defines key behaviors and competencies across 4 dimensions: Leadership, Achieving Results, Personal Effectiveness and Thinking Critically. These behaviors and competencies drive our ability to win together.

• Leadership: Role models in this area consistently focus on the right goals and priorities and continually develop themselves and others. Always team players, they influence and engage with others to contribute to a supportive and inclusive culture where all feel welcome.
• Achieving Results: Role models in this area are high achievers who develop careful plans and deliver consistently and effectively. They hold themselves and others accountable for delivering high quality results, and they remove barriers to ensure others can contribute and grow.
• Personal Effectiveness: Role models in this area build strong relationships, treat others with respect and communicate effectively. They are driven to exceed expectations and are adaptable to changing circumstances.
• Thinking Critically: Role models in this area understand our business, rely on analytical reasoning and seek diverse perspectives to solve problems. They are forward thinking, anticipating issues and addressing them in advance.

The department-specific competencies define the knowledge, skills and abilities that are needed to successfully perform the functional or technical work of this role.

• Industry Knowledge: Demonstrates an understanding of the Firm's position in the industry, including its complex structure and competitive advantage in the marketplace. Monitors industry trends and changes and recognizes their relevancy and implications.
• Technical Communication and Documentation: Documents and communicates technical processes and procedures in area of specialty to stakeholders. Adapts the level of detail and specificity based on the needs of the intended audience.
• Compliance: Ensures compliance with laws and regulations and stays current with legislative and regulatory changes that impact the Firm.
• Contract Management: Leverages an understanding of the regulatory, legal and compliance elements of contracting to interpret and ensure adherence to contract agreements throughout the lifecycle of agreements.
• Negotiation: Applies advanced negotiating techniques and a consultative approach with customers and internal stakeholders to compliantly create measurable short- and long-term values that leads to mutually beneficial outcomes.
• Project / Program Management: Manages projects and / or programs through planning, identifying resources, monitoring and communicating project activities and assessing impacts of project decisions.

Compensation and Benefits

For Illinois Only: It is expected that the base salary range for this position will be $220,000 to $280,000 for a Senior Compliance Officer and $150,000 to $200,000 for a Compliance Officer. Actual salaries may vary based on factors such as skills, experiences 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.

Golub Capital is an Equal Opportunity Employer.

Due to the highly regulated nature of Golub Capital's business and because of the sensitivity of the information that all personnel have access to, Golub Capital performs extensive and thorough pre-hire screens to ensure that its personnel act with expected levels of integrity, professionalism and personal responsibility.