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CarVal Investors – Senior Associate, Compliance

Full-time
Posted 2 years ago

Senior Associate, Compliance

CarVal Investors is a leading global alternative investment fund manager focused on distressed and credit-intensive assets and market inefficiencies. Since 1987, our experienced team has navigated through ever-changing credit market cycles, opportunistically investing $110 billion in 5,300 transactions across 79 countries. Today, CarVal Investors has approximately $11 billion in assets under management.

CarVal Investors is dedicated to attracting and retaining the industry’s best people across asset classes and geographies.  CarVal is committed to diversity and inclusion, valuing the full range of life experiences, skills and qualities of our employees.  We believe peak effectiveness comes from an engaged, talented, and diverse workforce.

We are currently seeking an individual to join our Compliance team. CarVal’s well-established compliance program is designed to achieve compliance with regulations applicable to CarVal as an SEC-registered investment advisor and its regulated affiliates in the UK and Singapore.

The role will report to the Deputy Chief Compliance Officer and is located in Minnesota.

Principal Responsibilities

  •  In close collaboration with the existing team, this role will support ongoing global Compliance processes. The role will also support and execute global and local Compliance initiatives, including working closely with other groups in the firm as needed.
  •  The individual in this role will be expected to develop strong working relationships with others in the firm and a robust understanding of the firm’s business, acting as a resource with respect to compliance matters and identifying matters that may have compliance implications.
  • Specific areas of responsibility are expected to focus on the following areas:
    • International Regulatory Compliance– Ensure regulatory compliance of our UK and Singapore affiliates:
      • Oversee certain regulatory filings and disclosures
      • Generate internal documents and reports to support compliance processes
      • Coordinate third-party audits of the firm’s Singapore affiliate, including taking any necessary follow-up actions
      • Keep up-to-date on various regulatory issues, including new or changing requirements, and suggest and implement updates to current processes
      • Interface with local compliance consultants as appropriate
    • Marketing Oversight– Review marketing materials and other data and information provided to investors to ensure accuracy, consistency and adherence to regulatory standards
    • Policies and Procedures– Implement, maintain and improve compliance processes
      • Conduct periodic review of policies and procedures, including identifying and implementing necessary updates
      • Coordinate implementation or modification of processes to satisfy new or changing requirements
    • Trade-Related Compliance– Coordinate certain trading-related compliance processes (e.g., best execution reviews, processes related to MiFID II obligations in the UK)
    • Projects and Initiatives– Coordinate new projects and initiatives as they are identified

Qualifications

Required:

  •  Bachelor’s degree in finance, accounting, legal, or related field
  •  5+ years’ compliance, audit/internal audit, and/or related experience
  •  Experience in the investment management industry or related field
  •  Demonstrated strong analytical skills and judgment
  •  Demonstrated attention to detail
  •  Demonstrated ability to work with confidential information
  •  Proficiency in Microsoft Office suite of products including Excel
  •  Successful passage of regulatory screening, including political contribution screening

Preferred:

  • Audit and/or compliance consulting experience in the investment management field
  • Hedge fund, private equity fund, investment management experience
  • Experience reviewing and interpreting laws, policies, and/or regulations
  • Experience with regulatory regime for investment firms in the US, UK and Singapore

There is no application deadline.  Interested candidates can apply via: https://carval.bamboohr.com/jobs/view.php?id=22

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