The Compliance team is a critical part of Antares Capital, and we are looking for a motivated, high-energy individual to join our team. This person will work as part of a 7-person Compliance team, reporting directly to the Managing Director, Chief Compliance Officer. This is a unique opportunity for someone to touch on all aspects of the compliance program, while also having exposure to senior management. The focus for this role will be supporting the compliance efforts with respect to (i) advising on regulatory rule proposals and related industry developments, trends and best practices, (ii) managing and coordinating new rule implementation projects including development, implementation and training on new and updated policies, (iii) assisting in projects, day to day issues and program oversight.
Looking for an individual with technical expertise combining both industry and regulatory experience. You may provide regulatory and compliance advice and guidance to the Chief Compliance Officer, General Counsel, members of the Executive Committee and other managers and employees in connection with the overall compliance program. We hire flexible, creative team players who can work autonomously and do the work necessary to get the job done.
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 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 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
- 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 smart, 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 learning new thing- the ideal candidate would not be satisfied with simply understanding how to carry out compliance functions but should want to ask questions and have ideas on how to improve established 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 or New York, NY offices and travel as needed.
A reasonable estimate of the current base salary range at 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 skills, prior relevant experience, specific degrees and certifications, job responsibilities, market considerations and, if applicable, 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. Salary Range$175,000 — $225,000 USDAntares 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.
