Senior Associate, Compliance - Business Development Company (BDC)

Crestline Investors, Inc., founded in 1997 and based in Fort Worth, Texas, is an institutional alternative investment management firm. Crestline specializes in credit and opportunistic investments, including financing and restructuring solutions for mature private equity funds. In addition, the firm manages a multi-PM equity market-neutral hedge fund, and provides beta and hedging solutions for institutional clients. The company maintains affiliate offices in New York City, London, Toronto and Tokyo.

Our Business Development Company (BDC) focuses on delivering innovative financing solutions to mid-market companies to facilitate their growth, while ensuring robust returns for our shareholders.

Job Summary:

The Senior Associate, Compliance for our Business Development Company will assist in managing our compliance framework to ensure adherence to all applicable laws, regulations, and internal policies. Reporting to the Chief Compliance Officer, this role supports the development and enforcement of compliance protocols, conducts risk assessments, and participates in compliance audits and training. The position is ideal for a compliance professional looking to grow their career in a dynamic and supportive environment.

Key Responsibilities:

• Assist in the development and enforcement of the company’s compliance program to ensure compliance with legal and regulatory requirements.
• Support ongoing compliance monitoring and risk assessment processes to identify potential areas of vulnerability and risk.
• Participate in the preparation and revision of policies and procedures to prevent illegal, unethical, or improper conduct.
• Collaborate with other departments to ensure coordination and compliance with external and internal standards.
• Assist in managing the compliance training programs to educate employees on necessary regulations and practices.
• Help prepare compliance reports for senior management and regulatory bodies.
• Participate in handling compliance-related issues and investigations.
• Provide support for compliance audits and detailed reviews of company practices and documents to ensure compliance.
• Contribute to the promotion of an ethical culture within the company by supporting initiatives and compliance awareness.

Qualifications:

• Bachelor’s degree in Law, Finance, Business Administration, or a related field.
• 4-6 years of experience in compliance, preferably within the financial services industry, with exposure to BDCs or similar financial entities.
• Knowledge of SEC regulations and compliance best practices pertinent to BDCs.
• Strong organizational and communication skills, with an ability to work effectively with multiple teams.
• Demonstrated analytical skills and a keen eye for detail.
• Ability to manage multiple projects simultaneously and meet deadlines.