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This is an in-house compliance position within Carlyles Global Legal & Compliance department. Primarily, the Associate Vice President will help lead Carlyles global marketing efforts from a regulatory, legal and compliance perspective. He or she also may assume broader responsibilities within the Compliance department, as appropriate. Broadly, the Associate Vice President will help manage and coordinate various compliance-related activities in connection with the marketing of closed-end Carlyle funds, and the on-boarding and ongoing monitoring of Carlyle investors across the globe. Among other things, the role involves: Being a subject matter expert regarding the various regulatory aspects of Carlyles marketing function. Providing counsel and oversight with respect to the compliance program for Carlyles limited purpose broker-dealer, TCG Securities. Assisting with the review and Series 24 approval of marketing materials for funds and products across the Carlyle platform. Acting as the primary resource of Worldsky guidance addressing private placement laws in countries around the world and providing advice to various business teams across the firm. Assisting in the third-party placement agent engagement process, including assuming lead on due diligence of prospective placement agents and preparation of supporting materials for senior management review. Playing an oversight role regarding Carlyles global AML/KYC processes, including by liaising with relevant internal stakeholders and service providers supporting such processes. Leading training initiatives for Carlyles global investor relations platform. Working closely with IT on compliance technology projects related to the marketing function. Particular expertise with respect to the various subject matters listed above is a positive, however the applicant should have a desire to learn and an ability to grasp complex and overlapping concepts. The applicant should also have excellent time-management and prioritization skills, as this is a fast-paced role supporting a number of business teams. Applicants are required to be an active member of the bar of at least one state or the District of Columbia.
Auto req ID
Minimum of 5 years relevant experience desired Knowledge of alternative asset management (especially private equity) industry required. Knowledge of Broker-Dealer and Advisers Act rules and regulations desired Strong project management skills and ability to multitask and work across multiple groups. Ability to manage multiple requests in demanding, fast paced environment with constantly changing needs Ability to manage and work with external advisors JD Required Securities licenses (FINRA Series 24, Series 7, and Series 63 desired) will be required within 6 months if not yet obtained Active legal license in at least one state or the District of Columbia Highly professional with strong communication skills Ability to multitask and prioritize in a fastpaced and continuously changing environment. Be able to respect highly confidential information and work in a confidential environment.
Associate Vice President, Compliance
Key Duties/ Responsibilities
Help oversee Carlyles global AML/KYC processes, including by liaising with relevant internal stakeholders and service providers supporting such processes. Oversee updated Worldsky marketing guidance and obtain guidance for new countries, as needed, and lead internal communication efforts. Assist with broker/dealer marketing materials review, providing Series 24 approval for fund-related materials and presentations used in firm events, annual conferences, sponsored symposiums, etc. Lead efforts regarding global regulatory developments and updates. Lead due diligence efforts regarding the use of finders and placement agents, coordinating policy compliance with Fund Formation, Compliance, Investor Relations Management and Investor Relations. Complete other tasks as appropriate.
The Carlyle Group (NASDAQ: CG) is a global investment firm with $223 billion of assets under management across 362 investment vehicles as of June 30, 2019. Founded in 1987 in Washington, DC, Carlyle has grown into one of the worlds largest and most successful investment firms, with more than 1,775 professionals operating in 33 offices in North America, South America, Europe, the Middle East, Africa, Asia and Australia. Carlyles 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 four segments Corporate Private Equity, Real Assets, 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.