This position involves representing our firm on regulatory matters and is responsible for the enhancement and maintenance of internal policies and procedures in connection with FINRA and SEC requirements. The ideal candidate would be a thought leader in regulatory compliance with demonstrated success in project management, program enhancement and key relationship development.
The candidate is expected to:
- Be primarily responsible for filings and communications with FINRA on issues related to BDCs and/or the FS Investments broker-dealer.
- Collaborate with due diligence in development of presentations and responses to information requests.
- Develop and conduct ongoing training on regulatory matters for licensed personnel.
- Provide advice on and track regulatory developments affecting the firm and the industry.
- Develop and maintain relationships with external stakeholders/regulators.
- Participate in speaking engagements in connection with FINRA regulation or policy development.
- Support the Chief Compliance Officer in testing and monitoring.
- 5–8 years of experience in compliance
- FINRA Series 7 license required
- Thorough understanding of regulatory and compliance matters
- Experience with general broker-dealer securities regulation required
Character—Exhibits integrity, professionalism, practical judgment, positive attitude at all times; exhibits perseverance, mental toughness and initiative in the face of problems and challenges; must be able to take direction and accept constructive criticism.
Interpersonal confidence—Strong interpersonal skills; can effectively communicate and relate to all levels within and outside the organization; possesses the ability to influence and creates and builds positive and productive relationships.
Results oriented—Drives the team and the organization for results in order to improve performance; able to make timely or planned decisions appropriate to the circumstances or situation.
Teamwork—Self-starter but also effective as a member of a team; willing to put firm’s objectives ahead of individual goals.
Communication—Excellent communication and listening skills are required.
Organizational ability—Can organize people and resources to prioritize and get projects completed; can create a plan for resourceful workflow and has a strong ability to multitask and keep order in a fast paced, high-energy work environment.
About FS Investments
FS Investments is a leading manager of alternative investment funds designed to enhance investors’ portfolios by providing access to asset classes, strategies and asset managers that typically have been available to only the largest institutional investors. The firm’s funds offer “endowment-style” investment strategies that help construct truly diversified portfolios and manage risk. FS Investments strives not only to maximize investment returns, but also to set the industry standard for best practices by focusing on transparency, investor protection and education for investment professionals and their clients.
Founded in Philadelphia in 2007, FS Investments quickly established itself as a leader in the world of alternative investments managing over $18 billion in assets (as of 6/30/2016). FS Investments was named one of Philadelphia’s Best Places to Work and ranked by Forbes Magazine as one of America’s Most Promising Companies. FS Investments distributes its funds through its affiliated broker-dealer, FS Investment Solutions, LLC.
FS Investments offers an exceptional benefits and wellness program and a highly competitive compensation package.
FS Investments is an Equal Opportunity Employer.