JOB DESCRIPTION
The Compliance team is a critical part of Antares, and we are looking for a motivated, high-energy individual to join our team. This person will work as part of a 6-person Compliance team, reporting directly to the Vice President, Compliance Manager. This is a unique opportunity for someone to touch on all aspects of the compliance program, while also having exposure to senior management. The specific responsibilities include administration of the firm’s Code of Ethics, including employee personal trading, participation in internal audits and risk assessments, overseeing electronic communications review and working to improve various compliance policies, procedures, and programs.
RESPONSIBILITIES
- Administer the firm’s Code of Ethics to ensure that employee activities are aligned with regulatory rules and requirements.
- Provide oversight of personal trading, including onboarding and offboarding employee personal trading accounts and exception resolution in MyComplianceOffice.
- Facilitate the onboarding of new hires and their registration in various compliance systems.
- Participate in quarterly forensic testing of various policies and procedures. Complete annual policy assessments.
- Advise on and review firm marketing and advertising materials for the Investor Relations and Marketing departments.
- Analyze and approve employee requests such as outside business activities and gifts and entertainment.
- Approve and monitor expert network calls using external vendors.
- Administer the training program using QuestCE. This includes Annual Compliance Training, AML training and the occasional ad-hoc training.
- Assist in the reparation of required regulatory filings.
- Perform other compliance-related responsibilities and special projects as needed.
QUALIFICATIONS
- Bachelor’s Degree
- 5+ years’ experience in the asset management industry with at least 3+ years in a compliance role
- Knowledge and experience in the regulation of registered investment advisers, including the Investment Advisers Act of 1940; Anti-Money Laundering and Know Your Customer requirements; and the Investment Company Act of 1940
- Experience with the leveraged lending industry a plus
- Experience working at a hedge fund, private equity fund, or compliance consulting firm a plus.
- Excellent verbal and written communication skills
- Ability to work independently with limited supervision
- Ability to analyze and evaluate data, forming accurate conclusions and translating insights into action.
- Proficient in MS PowerPoint, Excel, and Word.
- Proactive and forward-thinking attitude and creative problem-solving ability
- Demonstrated values of collaboration, transparency, empowerment, and accountability
COMPETENCIES
- The ideal candidate should embody the firm’s core values and be ambitious and excited to join an innovative, fast-growing asset manager.
- The candidate needs to be able to work both collaboratively and independently and have excellent communication skills; including the ability to effectively interface with all levels of management.
- In addition to these qualities, the candidate should be adaptable, highly organized, and able to embrace and leverage technology.
- You should be able to clearly articulate viewpoints verbally and in writing, and foster confidence when sharing and presenting information.
- You must be excited about tackling new challenges and proactive in asking questions and sharing ideas on how to improve various processes.
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, IL office and travel when business needs arise (<10%).
Antares is an Equal Opportunity Employer. Employment decisions are made without regard to race, color, religion, national or ethnic origin, sex, sexual orientation, gender identity or expression, age, disability, protected veteran status or other characteristics protected by law.#LI-hybrid#LI-CK1To learn more, visit www.antares.com. Antares is an Equal Opportunity Employer. Employment decisions are made without regard to race, color, religion, national or ethnic origin, sex, sexual orientation, gender identity or expression, age, disability, protected veteran status or other characteristics protected by law.
