Company Description Deerpath Capital is a leading direct lending firm specializing in providing first lien, senior debt financing to middle market companies. Deerpath is focused on providing debt capital for acquisitions, refinancings, ownership transitions and growth capital to companies in the U.Deerpath has investment offices in New York, Boston, Chicago, Los Angeles and Fort Lauderdale, as well as overseas investor relations offices in London, Seoul, Tokyo and Brisbane. 0 billion in assets as of 12/31/23.
This position will assist in the management of the compliance programs’ policies, reporting and practices for Deerpath. Under the direction of the Compliance Director, the Compliance Associate will be responsible for applying compliance policies and procedures to business practices, documenting the assessment, testing of supervisory controls, fostering compliance related initiatives, maintaining policies and procedures, monitoring and creating controls.
Assist the Compliance Director with the firm’s Compliance Program which consists of SEC compliance, State specific compliance and compliance in International jurisdictions (particularly UK & EEA)
Review and apply company’s compliance policies outlined in the Code of Ethics, Compliance Manual, AML/KYC policy and other policy documents
Assist with Fund Compliance registration, marketing and reporting requirements
Monitor and create control systems to test internal policies, document results and recommend effective enhancements
Participate in administrating compliance trainings to new employees
Provide compliance support to the company and stake holders
Assist with Compliance Program in general
Bachelor’s degree in business, finance, accounting, statistics, economics, international relations/business, or related field
~3-5 years’ experience working in compliance, legal, regulatory or financial services roles
~ Private debt/equity, hedge fund and registered investment advisor experience a plus
~ Fund Compliance, Cybersecurity, AML/KYC and Marketing Materials review experience a plus
~ Strong problem solving and data analytical skills
~ Commitment to accuracy and quality
NO RECRUITERS or AGENCIES for this posting. Deerpath Capital Management, LP is an equal opportunity employer committed to diversity and inclusion. We are pleased to consider all qualified applicants for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, age, disability, protected veteran status or any other protected characteristics