BDC; Business Development Compliance Officer

BDC (Business Development Company) Compliance Officer

The individual in this position is responsible for participating in mock regulatory examinations and compliance program reviews, assisting with policy and procedure reviews, drafting reports and manuals that promote compliance with regulatory requirements, and providing compliance assistance and advice to clients including those who advise private funds and/or registered products.

The individual will take a leading role in complex projects and develop client relationships and oversee ACA junior staff. The individual should also be open to serving as an outsourced chief compliance officer (OCCO) to clients, ensuring compliance programs are carried out by regulatory requirements and best practices.

What you’ll do:

• Lead or assist all aspects of mock regulatory examinations and compliance program reviews.
• Perform a broad scope of work during reviews of ACA’s largest and most complicated clients.
• Provide regulatory consulting services to clients as needed.
• Manage assigned client relationships and projects proactively and profitably.
• Identify, manage, and/or support ACA special projects and internal initiatives.
• Formally supervise, train, evaluate, oversee, and provide feedback to colleagues.

To qualify for the role you must have:

• Bachelor’s degree.
• 8 years of industry experience, or at least 6 years of experience that includes some combination of experience as an examiner or attorney with the U.S. SEC, NFA, CFTC, FINRA, or another regulatory authority, or compliance analyst or consultant with ACA or a consulting organization comparable to ACA.
• Advanced knowledge of relevant federal securities laws and associated rules and regulatory positions.
• Experience related to developing and managing the compliance program for a Business Development Company (BDC) or an advisor to a BDC.

Ideally, you’ll also have:

• Major or concentration in compliance, law, business, accounting, finance, and/or economics preferred.
• Supervisory experience.

Skills and attributes for success:

• Demonstrated professional integrity.
• Dependable, flexible, and adaptable to new ACA initiatives and changing client needs.
• Ability to exercise discretion and make independent judgments on matters of significance.
• Ability to work in a fast-paced individual and small team environment.

ACA is firmly committed to a policy of nondiscrimination, which applies to recruiting, hiring, placement, promotions, training, discipline, terminations, layoffs, transfers, leaves of absence, compensation, and all other terms and conditions of employment.