Compliance Specialist, Credit Portfolio Management
Compliance Specialist - Credit Portfolio Management
A global investment organization is seeking a Compliance Specialist to support its U.S. Credit Portfolio Management activities, including CLO management and illiquid credit strategies. This role provides direct coverage to investment teams and collaborates with Compliance colleagues across regions to strengthen oversight, controls, and regulatory readiness.
Key Responsibilities
Investment‑desk compliance - Serve as a day‑to‑day Compliance resource for credit portfolio managers, providing guidance on regulatory expectations and internal policies.
Risk communication - Keep senior stakeholders informed of compliance themes, emerging risks, and control considerations across credit strategies.
Regulatory interaction - Support responses to regulatory exams, inquiries, audits, and internal reviews related to credit activities.
Regulatory horizon scanning - Monitor and interpret U.S. regulatory developments affecting credit markets and portfolio management.
Governance and projects - Participate in cross‑functional working groups and initiatives aimed at enhancing compliance frameworks and operational processes.
Regulatory reporting - Assist with required filings and submissions tied to credit investment activities.
Travel - Occasional regional travel to collaborate with investment and Compliance teams.
Qualifications
Legal training or a law degree is helpful but not required.
Strong understanding of CLOs, illiquid credit, and broader credit markets.
Experience with Compliance monitoring, surveillance, and U.S. regulatory requirements.
Familiarity with compliance systems, controls, and regulatory rule sets governing credit investment activity.
High attention to detail and strong ownership of deliverables.
Collaborative mindset with the ability to work effectively across teams.
Comfortable operating in a fast‑paced environment with shifting priorities.
Excellent communication skills.
Compensation
The estimated base salary range for this role is $150,000-$225,000, plus a competitive annual bonus, subject to change based on market conditions.
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