Compliance Associate — Investment Adviser

Octagon Credit Investors, LLC; New York (NY); Vor Ort; USD 90.000 - 120.000; Vollzeit

Benefits dieser Stelle

Competitive salary and year-end bonus

Medical, dental, vision, life and AD&D

401(k) matching program

Employee Assistance Program

Professional designation and licensure

Family support and leaves of absence

Zusammenfassung

Octagon Credit Investors, LLC is a leading SEC-registered investment adviser with 25+ years in credit markets. The Associate Compliance professional will manage Code of Ethics administration, regulatory filings, and daily monitoring while supporting testing, AML, and policy updates.

This role offers growth within a dedicated compliance team in New York. The position emphasizes training, cross-functional collaboration, and responsive regulatory support across funds and accounts.

Qualifikationen

• 2+ years of Investment Adviser Compliance experience.
• Knowledge of SEC RIA Code of Ethics requirements, CLOs, private funds, and regulatory research.
• Experience with regulatory reporting (Form ADV, Form PF, AIFMD/foreign filings).
• Excellent written and oral communication skills; attention to detail.

Aufgaben

• Administer the Code of Ethics (personal trading, outside business activities, gifts).
• Deliver Code of Ethics training and onboarding/offboarding employees on compliance platforms.
• Conduct testing and assessment of the Compliance Program under 206(4)-7.
• Ongoing review and testing of AML requirements.
• Assist in preparation and submission of regulatory filings and respond to regulatory inquiries.
• Review clients’/funds’ reporting and marketing materials; assist with portfolio management compliance.
• Research regulatory rules and assist with policy updates and implementation.

Kenntnisse

Investment Adviser Compliance

Microsoft Office

Communication skills

Analytical skills

Ausbildung

J.D. welcome

Tools

Microsoft Office

Jobbeschreibung

Octagon Credit Investors, LLC is a leading SEC-registered investment adviser with 25+ years in credit markets. The Associate Compliance professional will manage Code of Ethics administration, regulatory filings, and daily monitoring while supporting testing, AML, and policy updates.

This role offers growth within a dedicated compliance team in New York. The position emphasizes training, cross-functional collaboration, and responsive regulatory support across funds and accounts.