Senior Compliance Analyst, Private Debt

POSITION SUMMARY:

Seeking a detail oriented Senior Compliance Analyst for a newly created position supporting all aspects of Audax Private Debt’s compliance program.  Reporting directly to the CCO, the Senior Compliance Analyst will work closely with members of the Audax Private Debt investor relations, accounting, and investment teams.  The Senior Compliance Analyst will be an integral part of the Audax compliance team, based in Boston and New York.

RESPONSIBILITIES:

• Work closely with the Audax Private Debt investor relations team to create, review, and approve marketing materials and investor communications for multiple product lines
• Assist with Form ADV Parts 1 and 2, Form PF, and other filings
• Develop, administer, and enforce compliance policies and procedures
• Monitor portfolio trading and investment activity against investment guidelines, restrictions, disclosures, and regulatory requirements
• Participate in annual reviews and compliance testing across the program
• Work with various business unit representatives to incorporate compliance requirements into business processes
• Assist with developing new policies, procedures, and technological upgrades to meet increasing regulatory demands and growth in the business
• Assist with creating and delivering employee compliance training
• Other ad hoc projects and special tasks related to compliance matters, as needed

REQUIREMENTS/QUALIFICATIONS:

• BA or BS degree required
• 3 to 5 years of compliance experience within the financial services space, preferably with private fund advisor or private credit experience
• Professional maturity and ability to speak with all levels of management
• Knowledge and experience with compliance testing and marketing material review desired
• Ability to work independently and alongside a team is required, as well as a willingness to communicate actively to coordinate workload, priorities, initiatives, and regulatory interpretations
• Comfortable working in a fast-paced environment, with a keen sense of prioritizing workload and time sensitive projects; strong attention to detail and organizational skills
• Motivated self-starter with a willingness to “roll up your sleeves” and identify opportunities for enhancement
• Ability to communicate clearly and effectively in a written and oral manner
• Consensus builder with demonstrated self-awareness, humility, and ability to learn and adapt
• Ability to balance regulatory and policy standards along with practical business perspective
• Strong attention to detail, analytical, and issue-spotting skills
• Ability to build effective business relationships with partners throughout the organization and external to the organization
• Flexibility and a willingness to take on new and varied projects outside of silos
• Ability to be 4 days in office with some flexibility as needed.

For New York City only: The base salary range for this position is $90,000 - $135,000. The base salary range represents the estimated low and high end for this position at the time of this posting. Consistent with applicable law, compensation may vary and will be determined based on but not limited to, the skills, qualifications, and experience of the applicant along with the requirements of the position, and Audax reserves the right to modify this pay range at any time. An employee may also be eligible for annual discretionary incentive compensation based on performance. 

Audax offers a wide range of employee benefits, including health insurance, life insurance, disability insurance, paid time off (including sick leave, parental leave, volunteer leave, and vacation), charitable donation match, family support services (including Bright Horizons and Benefit Advocate Center), and a 401(k) in addition to other benefits.