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This individual will focus on legal and compliance matters related to Carlyle Global Credit funds that are regulated under the Investment Company Act of 1940 (1940 Act) (such funds, Regulated Funds). These Regulated Funds currently include two business development companies (BDCs) focused on U.S. middle market direct lending and one closed-end interval fund (Interval Fund) that invests across a variety of Global Credit strategies. This person will support the day-to-day implementation and maintenance of the compliance programs for the Regulated Funds including, among other things, developing and implementing Regulated Fund-related policies, procedures and processes, reviewing Regulated Fund transactions (including co-investment transactions) on a pre-trade basis, conducting risk assessment analyses, supervising compliance testing, compliance reporting to the Regulated Fund boards, advising investment professionals on 1940 Act compliance, reviewing marketing materials, training Global Credit personnel on compliance matters, and reviewing and analyzing applicable laws and regulations and keeping updated on regulatory guidance to determine whether changes or enhancements should be made to the Regulated Fund compliance program.
This person will report to the Chief Compliance Officer (CCO) of the Regulated Funds, and will collaborate with the senior management of Carlyle Global Credit on various matters affecting the Regulated Funds, including the development and integration of new funds and strategies.
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Bachelors Degree with a strong academic record. JD required. Active Legal License in at least one state.Minimum of 5 years of compliance experience at another asset manager, a law firm, an accountancy firm, the SEC or a regulatory consulting firm. Minimum of 5 years of compliance experience at another asset manager, a law firm, an accountancy firm, the SEC or a regulatory consulting firm. Strong understanding of credit asset management. A thorough understanding of U.S. securities laws, particularly the Investment Company Act of 1940. Ability to comprehend and apply other applicable laws and regulations. A proven ability to effectively and clearly identify issues and communicate findings to other members of the team. A proactive, self-starter work style and ability to interact with people with varied personalities and work styles. Outstanding organization skills. A proven ability to multi-task and work both independently and as a team player in a fast-paced environment.
Regulated Fund Attorney/Compliance OfficerImplement and maintain the compliance programs of the Regulated Funds, which includes advising on allocation of investments across the Global Credit platform (including oversight of compliance with SEC exemptive order), advising Global Credit investment professionals on 1940 Act compliance, responsibility for regulatory reporting and filings, advising the Regulated Fund boards of directors on compliance matters, including assisting in the preparation of quarterly and annual compliance reports to the boards, and administering Regulated Fund policies and procedures. Consider complex investment allocation issues and other potential conflicts among advisory clients as the Global Credit platform continues to grow. Serve as a Regulated Fund compliance liaison with the centralized Carlyle Legal & Compliance team in Washington, D.C. Coordinate with Carlyles Global CCO and other Carlyle Legal & Compliance Team members on SEC regulatory inspections, as needed. Oversee the maintenance of books and records for the Regulated Fund platform. Assist, as necessary, in drafting, reviewing, revising and testing policies and procedures of Carlyle Global Credit Investment Management L.L.C., especially as they pertain to Regulated Fund advisory clients. Coordinate with Carlyles Internal Audit function on internal audits relating to Regulated Funds. Assist, as necessary, in the review, approval and retention of marketing materials for Global Credit funds Develop and implement training of Global Credit personnel on relevant compliance policies and procedures. OneCarlyleAssist and advise Carlyles global Legal & Compliance function as needed on cross-platform regulatory and policy initiatives (e.g., AML, FATCA, AIFMD, anti-corruption measures, engagement of expert networks, and ESG)
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.