Compliance Officer
The Compliance Officer at Sixth Street will play a pivotal role in managing and enhancing the firm's compliance program, ensuring adherence to regulatory requirements and industry best practices. This position is based in New York and is integral to the firm's operations, collaborating closely with various teams to maintain a robust compliance framework.
In this role, the Compliance Officer will oversee the review and approval of a high volume of marketing materials, due diligence questionnaires, social media content, and investor relations materials, ensuring compliance with SEC, FINRA, and other relevant regulations. Additionally, the officer will manage Sixth Street's Global Capital Markets compliance program, collaborate with senior stakeholders on regulatory initiatives, and drive regulatory reporting obligations such as ADV and Form PF. The role also involves designing and implementing policies and procedures, enhancing compliance workflows, and staying abreast of regulatory developments to ensure ongoing compliance.
Candidates should possess over five years of relevant compliance experience within asset management or as a private fund investment adviser. A strong understanding of the SEC Marketing Rule and its application in private fund marketing is essential. The ideal candidate will have a Bachelor's Degree, with an MBA and/or JD being advantageous. Key attributes include a highly motivated, entrepreneurial, and team-oriented mindset, strong analytical and problem-solving skills, and excellent organizational and communication abilities.
The base salary for this position ranges from $175,000 to $200,000, commensurate with experience and qualifications. In addition to the base salary, the role offers an annual discretionary bonus and a competitive benefits package, including health, life, long-term and short-term disability insurance, and a 401(k) plan. Employees are also entitled to paid public holidays, paid sick days, and additional reasonable time off subject to manager approval.
Sixth Street, founded in 2009, is a leading global investment firm with over $130 billion in assets under management. The firm emphasizes a 'One Team' culture, fostering collaboration and creativity to deliver differentiated solutions for partner companies and drive results for investors, employees, and communities. With a commitment to cross-platform collaboration, Sixth Street offers a dynamic environment for professionals seeking to make a significant impact in the investment sector.