The Compliance Associate will represent the firm on regulatory matters and be 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 and have 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.
- 4+ years of experience in compliance
- FINRA Series 7 license preferred but not required
- Thorough understanding of regulatory and compliance matters
- Experience with general broker-dealer securities regulation required
About FS Investments
FS Investments is a leading asset manager dedicated to helping individuals, financial professionals and institutions design better portfolios. The firm provides access to alternative sources of income and growth through funds managed in partnership with top institutional investment advisers. It focuses on setting industry standards for investor protection, education and transparency.
FS Investments was founded in 2007 as Franklin Square Capital Partners. It is headquartered in Philadelphia with offices in Orlando and Washington, DC. The firm currently manages seven funds with over $20 billion in assets under management as of March 31, 2017. Its affiliated broker-dealer, FS Investment Solutions, LLC (member FINRA/SIPC), distributes its offerings.
FS Investments is an Equal Opportunity Employer.
Visit fsinvestments.com to learn more.