Senior Compliance Officer - AML/KYC & Regulatory Risk

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

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.