Compliance Officer

Golub-Capital; Chicago (IL); On-site; USD 165,000 - 220,000; Full time

Benefits offered by this job

401(k) eligibility

Medical benefits

Discretionary awards

Job summary

Golub Capital seeks a Compliance Officer to lead AML/KYC programs and manage regulatory filings within the Legal & Compliance Department in Chicago. The role requires deep knowledge of securities regulation and experience with risk mitigation and control design.

Ideal candidates will have JD and 8+ years of compliance experience, with the ability to drive policy updates, exam readiness and cross-functional collaboration in a fast-paced financial services setting.

Qualifications

• Bachelor’s degree or equivalent education required.
• JD from a top-tier institution preferred.
• 8+ years of relevant experience including experience with the Investment Advisers Act and/or Investment Company Act.
• Knowledge of regulatory and industry best practices in compliance, governance and risk management.

Responsibilities

• Manage AML/KYC compliance responsibilities including investor due diligence, onboarding and periodic reviews.
• Prepare and manage regulatory filings (e.g., Form ADV, Form PF).
• Oversee implementation, monitoring and testing of compliance controls.
• Develop and execute monitoring techniques for high-risk requirements.
• Review advertising and investor communications for regulatory compliance.
• Investigate and resolve compliance issues and advise senior management.

Skills

AML/KYC

Regulatory compliance

Project management

Analytical thinking

Strong writing

Confidentiality

AI tools usage

Team collaboration

Regulatory communications

Education

JD preferred

Bachelor’s degree or equivalent

Tools

AI tools

Job description

Position InformationHiring Manager:Co-Chief Compliance Officer, Senior CounselDepartment:Legal & ComplianceDepartment OverviewThe Legal & Compliance Department is responsible for managing legal risk and attorney advice for each of the Firm's functions. The Legal & Compliance Department also manages the Firm's regulatory profile under relevant securities laws on a global basis. Key functions within the Legal & Compliance Department include fund structuring, contract and entity management, compliance administration, special projects and institutional risk mitigation. The breadth of the Firm’s operations and products requires a diverse set of talents and capabilities among members of the Legal & Compliance Department and we look for individuals who can contribute meaningfully to one of more of these areas. As the Firm continues to grow, the Legal & Compliance Team continues to expand its staff and the areas of their expertise. The Legal & Compliance Department collaborates closely with Firm leadership and business unit heads to provide legal solutions to our growing business.Position ResponsibilitiesThe Firm is seeking a Compliance Officer to manage certain aspects of the Firm’s compliance program. A thorough understanding of the Firm’s products, services and regulatory framework is necessary in this role. This person will lead and manage routine and special projects on behalf of the broader Legal & Compliance Department.Responsibilities include, but are not limited to:Managing and supporting AML / KYC-related compliance responsibilities, including investor due diligence, onboarding, periodic reviews and related policies, procedures and controlsPreparing, managing and completing regulatory filings, including Form ADV, Form PF and / or applicable regulatory submissionsActing as a subject matter expert overseeing implementation, monitoring and testing of the Firm’s regulatory compliance controlsEstablishing and enhancing compliance standards and designing and implementing improvements to internal control structuresDeveloping and executing special or enhanced monitoring and testing techniques for new, complex or high-risk requirements or in response to certain weaknesses discovered through routine assessments, testing, audits or examsReviewing advertising and sales materials, correspondence, investor communications and investor reports and other documents to ensure that these materials meet SEC advertising regulations and other regulatory rules and internal quality control standardsInvestigating and resolving compliance-related issues and advising senior management on compliance mattersAssessing control design and effectiveness to mitigate compliance riskManaging certain special projects related to the Legal & Compliance Department as needed, e.g., policy updates due to regulatory changes, research and recommend solutions related to compliance mattersStaying apprised of regulatory matters and developments through reading, research and trainings through online webinars and conferences and assist with exam preparedness effortsCollaborating internally with other members of the Legal & Compliance Department to ensure consistent standards and effective communicationCandidate RequirementsQualifications & Experience:Bachelor’s degree or equivalent education required; JD from a top-tier institution preferred8+ years of relevant experience including experience with the Investment Advisers Act of 1940 and / or the Investment Company Act of 1940Knowledge and understanding of regulatory and industry best practices developments, particularly in the areas of compliance, corporate governance and risk managementPreference for previous exposure to and broad understanding of the credit asset management businessStrong analytical skills with experience in prioritization, issue identification and resolutionStrong project management skills, ability to review materials quickly and ability to drive and meet deadlinesSkilled in business writing and editing with strong attention to detailQuick learner who has an ability to grasp complicated financial conceptsTeam oriented with the ability to build relationships and earn the respect of othersSelf-starter with the ability to manage projects independentlyAbility to handle sensitive matters at all levels of the organization with discretion and confidentialityAbility to anticipate and react quickly to the evolving financial services regulatory environmentDemonstrated knowledge base and stature to deliver solution-oriented advice in a manner that is respected and valued by business and staff group leaders and constituentsDemonstrated ability to effectively leverage AI tools in day-to-day work, with strong critical thinking to assess accuracy, limitations and appropriate use of AI generated outputsEnthusiastic about working in office and creating a Gold Standard hybrid work cultureCritical Competencies for SuccessOur Gold Standards define key behaviors and competencies across 4 dimensions: Leadership, Achieving Results, Personal Effectiveness and Thinking Critically. These behaviors and competencies drive our ability to win together.Leadership: Role models in this area consistently focus on the right goals and priorities and continually develop themselves and others. Always team players, they influence and engage with others to contribute to a supportive and inclusive culture where all feel welcome.Achieving Results: Role models in this area are high achievers who develop careful plans and deliver consistently and effectively. They hold themselves and others accountable for delivering high quality results, and they remove barriers to ensure others can contribute and grow.Personal Effectiveness: Role models in this area build strong relationships, treat others with respect and communicate effectively. They are driven to exceed expectations and are adaptable to changing circumstances.Thinking Critically: Role models in this area understand our business, rely on analytical reasoning and seek diverse perspectives to solve problems. They are forward thinking, anticipating issues and addressing them in advance.The department-specific competencies define the knowledge, skills and abilities that are needed to successfully perform the functional or technical work of this role.Industry Knowledge: Demonstrates an understanding of the Firm's position in the industry, including its complex structure and competitive advantage in the marketplace. Monitors industry trends and changes and recognizes their relevancy and implications.Technical Communication and Documentation: Documents and communicates technical processes and procedures in area of specialty to stakeholders. Adapts the level of detail and specificity based on the needs of the intended audience.Compliance: Ensures compliance with laws and regulations and stays current with legislative and regulatory changes that impact the Firm.Contract Management: Leverages an understanding of the regulatory, legal and compliance elements of contracting to interpret and ensure adherence to contract agreements throughout the lifecycle of agreements.Negotiation: Applies advanced negotiating techniques and a consultative approach with customers and internal stakeholders to compliantly create measurable short- and long-term values that leads to mutually beneficial outcomes.Project / Program Management: Manages projects and / or programs through planning, identifying resources, monitoring and communicating project activities and assessing impacts of project decisions.Compensation and BenefitsFor Illinois Only: It is expected that the base salary range for this position will be $165,000 to $220,000. Actual salaries may vary based on factors such as skills, experiences and qualifications for the role. The total compensation package for this position may also include other elements and discretionary awards in addition to a full range of medical, financial and / or other benefits (including 401(k) eligibility and various paid time off benefits such as vacation, sick time and parental leave) dependent on the position offered. Details of participation in these benefit plans will be provided if an employee receives an offer of employment. If hired, the employee will be in an ‘at-will position’ and the Firm reserves the right to modify base salary (as well as any other discretionary payment or compensation program) at any time including for reasons related to individual performance, Firm or individual department / team performance and market factors.Golub Capital is an Equal Opportunity Employer.Due to the highly regulated nature of Golub Capital’s business and because of the sensitivity of the information that all personnel have access to, Golub Capital performs extensive and thorough pre-hire screens to ensure that its personnel act with expected levels of integrity, professionalism and personal responsibility.Please review Golub Capital’s US Job Applicant privacy notice and, for California residents, the California Applicant privacy notice for information on how your personal data is collected, processed and stored.