Co-Chief Compliance Officer, Capital Markets at Carlyle Investment Management, LLC in New York, New York

Job Description:

Position Summary


The Carlyle Global Capital Markets team works with the Carlyle Private Equity and Global Credit deal teams to provide advisory, structuring, underwriting, and distribution services on publicly syndicated and privately placed loan and equity financings for existing portfolio businesses and new acquisitions. The Co-CCO position will be primarily responsible for supervising members of the Capital Markets team as they engage in investment banking and securities-related activities, such as underwriting or privately placing securities, and will ensure overall compliance with FINRA and SEC regulations and responsibilities.



Responsibilities


Oversight of Capital Markets (including Broker Dealer) Activity:

• The individual will supervise members of the Capital Markets team when engaging in investment banking and securities-related activities, such as underwriting or privately placing securities, and will ensure overall compliance with FINRA and SEC regulations and responsibilities


• responsible for reviewing marketing materials in connection with public debt or equity offerings in which Capital Markets is an underwriter (e.g., offering memorandum, registration statement/prospectus) as well as materials related to private equity transactions and/or co-investment opportunities and provide S24 sign-off, as required


• Manage audits (internal and external) or other regulatory inquiries related to CGCM activities, including serving as primary point of contact with internal partners (accounting, legal and compliance)


• Provide ongoing advice and guidance to Capital Markets team to ensure adherence to Carlyle policies and standards; responsible for monitoring regulatory developments for changes in regulation and interpretive guidance


• Assist the Capital Markets team with performing an annual refresh of their rate card, including tracking and synthesizing of fee comp data points


• Act as a point of contact to liaise with the global Capital Markets team and Europe/Asia Compliance to provide ongoing advice and guidance relating to jurisdiction-specific licensing and local law requirements applicable to taking Capital Markets fees


• Key Compliance contact for the internal approval process for upcoming Capital Markets activity and fees, provide guidance where needed, participate in committee discussions, provide Compliance sign off for closing memos, and assist with file retention for audit readiness


• Help manage appropriate information flow within the team by providing periodic compliance training


• Assist on other broker-dealer compliance matters as necessary

Collaborate with Internal Partners (Accounting, Fund Management, Legal & Compliance) and Liaise with External FinOp and Regulatory Counsel:

• The individual will be a point of contact for internal colleagues in Accounting, Fund Management, and Legal & Compliance to ensure all appropriate internal parties are aware of Capital Markets activities; responsibilities including, but not limited to:




• Legal & Compliance: Manage completion of conflicts checks; work with compliance and external FinOp on quarterly broker dealer filings; assist with regulatory examinations; perform e-communications reviews of broker-dealer associated persons; other ad hoc compliance projects




• The CCO will interface with External FinOp and outside regulatory counsel, as further described below




• External FinOp: Coordinate with External FinOp to ensure compliance with regulatory capital requirements


• Outside Regulatory Counsel: Engage with outside counsel as needed in order to address one-off matters related to regulatory compliance; in conjunction with legal and compliance, coordinate periodic review and updating of Capital Markets procedures and policies

Qualifications

• Relevant experience in capital markets, leveraged finance and the broader financial industry; supervisory/management experience helpful


• 
  Active legal license in at least one state or the District of Columbia required
  


• 
  Series 24, Series 79, Series 7 & Series 63 required (other licenses may be required in the future as needed)


• Relevant legal/compliance experience (law firm or in-house) would be preferred


• Excellent written and verbal communication skills


• Ability to work under pressure and make decisions in a fast-paced environments


• Excellent relationship, facilitation and presentation skills, and ability to interact with all levels of Carlyle management


• Self-sufficient, proactive, resourceful and ability to multi-task and meet deadlines


• Ability to identify issues and trends, evaluate alternatives and recommend comprehensive and innovative solutions


• Project management skills

Benefits/Compensation



The compensation range for this role takes into account a wide range of factors including but not limited to the skill sets required/preferred; prior experience and training.


The anticipated base salary range for this role is $240,000 to $250,000.


In addition to the base salary, the hired professional will enjoy a comprehensive benefits package spanning retirement benefits, health insurance, life insurance and disability, paid time off, paid holidays, family planning benefits and various wellness programs. Additionally, the hired professional may also be eligible to participate in an annual discretionary incentive program, the award of which will be dependent on various factors, including, without limitation, individual and organizational performance.



Company Information


The Carlyle Group (NASDAQ: CG) is a global investment firm with $426 billion of assets under management and more than half of the AUM managed by women, across 586 investment vehicles as of December 31, 2023. Founded in 1987 in Washington, DC, Carlyle has grown into one of the world's largest and most successful investment firms, with more than 2,200 professionals operating in 28 offices in North America, Europe, the Middle East, Asia and Australia. Carlyle places an emphasis on development, retention and inclusion as supported by our internal processes and seven Employee Resource Groups (ERGs). Carlyle's purpose is to invest wisely and create value on behalf of its investors, which range from public and private pension funds to wealthy individuals and families to sovereign wealth funds, unions and corporations. Carlyle invests across three segments - Global Private Equity, Global Credit and Investment Solutions - and has expertise in various industries, including: aerospace, defense & government services, consumer & retail, energy, financial services, healthcare, industrial, real estate, technology & business services, telecommunications & media and transportation.


At Carlyle, we know that diverse teams perform better, so we seek to create a community where we continually exchange insights, embrace different perspectives and leverage diversity as a competitive advantage. That is why we are committed to growing and cultivating teams that include people with a variety of perspectives, people who provide unique lenses through which to view potential deals, support and run our business. Apply Now