Assistant Vice President of Compliance

Monroe Capital LLC is seeking an experienced Assistant Vice President of Compliance to help implement and oversee the firm's global regulatory compliance program. This role works closely with the Head of Compliance & Operational Risk and the Chief Compliance Officer (CCO) to implement, maintain, and oversee strategy, programs, policies, and practices with respect to regulatory compliance and risk mitigation for its registered investment advisor and broker-dealer entities.

Monroe Capital is a private credit and asset management firm specializing in direct lending and opportunistic credit strategies, managing multiple registered investment advisors and business development companies (BDCs) that require robust compliance infrastructure.

Key responsibilities include:

- Developing and managing the firm's risk management program, including in-depth analysis of procedures across departments to identify process improvements in efficiency and risk mitigation

- Identifying areas for further development within the compliance program as the firm continues to grow rapidly

- Establishing a proactive presence with the management team, focusing on strategic business planning and development of the compliance oversight program

- Assisting with updating and maintaining compliance programs for registered investment advisors, BDCs, and other investment products

- Managing outsourced third-party compliance relationships including vendors and consultants

- Implementing and maintaining a Broker/Dealer compliance program consistent with FINRA requirements

- Fostering a culture of compliance throughout the organization

The role requires a strong, proactive business partner who can anticipate regulatory impacts, manage complex conflicts of interest, and ensure compliance is an enabler of the firm's strategic objectives while maintaining high ethical standards.

Qualifications: Minimum 7 years of related experience within the compliance function of a SEC registered investment adviser and FINRA registered firm. FINRA Series 7 and/or Series 24 preferred. Knowledge of sophisticated investment offerings, BDC structures, and alternative asset management regulatory requirements is essential. The position is based in the New York City metropolitan area.