Compliance Associate

CIFC OVERVIEWFounded in 2005, CIFC Asset Management LLC (together with its affiliates, “CIFC” or the “Firm”) is a global credit manager with $47+ billion in assets under management. CIFC focuses across multiple disciplines including CLOs, structured credit, corporate credit, and opportunistic credit, as well as direct lending. With offices in Miami, New York and London, and serving over 400 investors globally, we have approximately 200 employees. For more information, please visit CIFC’s website at OverviewThe firm is seeking a Compliance Associate to play a critical, hands-on role in the administration and execution of the firm’s compliance program across the world.This position is ideal for a senior compliance professional with knowledge of the Investment Advisers Act of 1940, including experience in marketing reviews and compliance testings. A plus would be a candidate who also has working knowledge of regulatory requirements in Europe and Asia.The Compliance Associate will work closely with the Chief Compliance Officer and Legal/Compliance teams at CIFC, and across business functions to personally execute core compliance tasks, including regulatory filings, compliance reviews, and examination support. This is not a purely advisory or oversight role — the successful candidate must be willing and proactive in getting into the weeds, drafting filings, reviewing materials line-by-line, and owning deliverables. The role requires sound judgment, attention to detail, and a collaborative, team-player approach even when dealing with various personalities.

Apply promptly! A high volume of applicants is expected for the role as detailed below, do not wait to send your CV.
Key ResponsibilitiesManage incoming KYC requests from trading counterparties and service providersConduct quarterly compliance reviews, including testing, documentation, and issue trackingReview marketing materials and disclosures for regulatory compliance requirementsSupport responses to investor due diligence questionnaires and information requestsSupport the implementation of various policies and procedures related to private information (i.e., updating databases and monitoring expert network calls)Assist with oversight of the firm’s code of ethics (i.e., personal trading, and gifts & entertainment)Assist with regulatory filingsAssist with firm preparation for SEC examinations, including document collection, production, and issue trackingServe as a practical, solution-oriented compliance partner to investment, operations, xzbcwsv legal, and investor relations teams
Qualifications & ExperienceBachelor’s degree requiredThree to five years of compliance experience at an SEC-registered investment adviser or compliance consulting firmHighly detail-oriented, organized, and entrepreneurial - a problem solverComfortable working in a fast-paced environment with constantly shifting prioritiesSelf-starter who is able to work independently and as part of a collaborative teamStrong written and verbal communication skillsProfessional judgment, discretion, and a collaborative, team-first mindset
Reporting RelationshipReports directly to the Chief Compliance Officer and serves as a key day-to-day partner and trusted compliance resource across the firm