Golub Capital · 7 hours ago
Compliance Officer
Chicago, IL
Full-time
Hybrid
Senior Level, Lead/Staff
$150K/yr - $200K/yr
8+ years expGolub Capital is seeking a Senior Compliance Officer to lead aspects of their compliance program within the Legal & Compliance Department. This role involves overseeing regulatory compliance controls, managing special projects, and advising senior management on compliance matters.
CreditFinanceFinancial Services
Responsibilities
Act as subject matter expert overseeing monitoring and testing of the Firm’s regulatory compliance controls
Establish and enhance compliance standards and design and implement improvements to internal control structures
Develop and execute special or enhanced monitoring and testing techniques for new, complex or high-risk requirements, or in response to certain weaknesses discovered through routine assessments, testing, audits or exams
Manage and complete regulatory filings
Review advertising and sales materials, correspondence, investor communications and investor reports and other documents to ensure that these materials meet SEC advertising regulations and other regulatory rules, as applicable, and internal quality control standards
Investigate and resolve compliance-related issues and advise Senior Management and Board on compliance matters
Assess control design and effectiveness to mitigate compliance risk
Manage certain special projects related to the Legal & Compliance Department as needed, e.g., policy updates due to regulatory changes, research and recommend solutions related to compliance matters
Serve as a subject matter expert on the implementation and execution of testing regulatory compliance controls
Effectively communicate compliance-related issues requiring management attention
Stay apprised of regulatory matters and developments through reading, research and training through online webinars and conferences and assist with exam preparedness efforts
Collaborate internally with other members of the Legal & Compliance Department to ensure consistent standards and effective communication
Qualification
Required
Bachelor's degree or equivalent education required
At least 8 years of relevant experience including experience with the Investment Advisers Act of 1940 and / or the Investment Company Act of 1940
Knowledge and understanding of regulatory and industry best practices developments, particularly in the areas of compliance, corporate governance and risk management
Strong analytical skills with experience in prioritization, issue identification and resolution
Strong project management skills, ability to review materials quickly and ability to drive and meet deadlines
Skilled in business writing and editing with strong attention to detail
Quick learner who has an ability to grasp complicated financial concepts
Capacity and passion for being part of a fast-growing, multi-office environment
Team oriented with the ability to build relationships and earn the respect of others
Self-starter with the ability to manage projects independently
Ability to handle sensitive matters at all levels of the organization with discretion and confidentiality
Ability to anticipate and react quickly to the evolving financial services regulatory environment
Demonstrated knowledge base and stature to deliver solution-oriented advice in a manner that is respected and valued by business and staff group leaders and constituents
Enthusiastic about working in office and creating a Gold Standard hybrid work culture
Industry Knowledge: Demonstrates an understanding of the Firm's position in the industry, including its complex structure and competitive advantage in the marketplace
Technical Communication and Documentation: Documents and communicates technical processes and procedures in area of specialty to stakeholders
Compliance: Ensures compliance with laws and regulations and stays current with legislative and regulatory changes that impact the Firm
Contract Management: Leverages an understanding of the regulatory, legal and compliance elements of contracting to interpret and ensure adherence to contract agreements throughout the lifecycle of agreements
Negotiation: Applies advanced negotiating techniques and a consultative approach with customers and internal stakeholders to compliantly create measurable short- and long-term values that leads to mutually beneficial outcomes
Project / Program Management: Manages projects and / or programs through planning, identifying resources, monitoring and communicating project activities and assessing impacts of project decisions
Preferred
JD from a top-tier institution is preferred but not required
Preference for previous exposure to, and broad understanding of, the credit asset management business
Benefits
Full range of medical, financial and / or other benefits
401(k) eligibility
Various paid time off benefits such as vacation, sick time and parental leave
Company
Golub Capital
Golub Capital is a market-leading direct lender and experienced private credit manager with $85+ billion of capital under management.
1001-5000 employees
H1B Sponsorship
Golub Capital has a track record of offering H1B sponsorships. Please note that this does not
guarantee sponsorship for this specific role. Below presents additional info for your
reference. (Data Powered by US Department of Labor)
Distribution of Different Job Fields Receiving Sponsorship
Represents job field similar to this job
Trends of Total Sponsorships
2025 (8)
2024 (6)
2023 (2)
2022 (2)
2021 (4)
Funding
Current Stage
Late StageTotal Funding
unknownKey Investors
Korea Investment Corp
2022-12-08Private Equity
2018-08-03Private Equity
Leadership Team
Andrea Picard
Managing Director, Head of Global Investor Solutions
Dan Kaminski
Managing Director, Investor Partners Group
Recent News
2025-12-19
2025-11-13
Company data provided by crunchbase