Compliance Officer

Job Description:

The Role

This is a full-time role based in London. The Compliance team is responsible for ensuring Sixth Street operates in accordance with applicable regulatory requirements across all jurisdictions. In the Compliance Team, you will assist with the firm's International regulatory and operational compliance programme, acting as a primary subject matter expert for international regulatory obligations to Legal, Investment, and Operations teams. The individual will be a key team player in helping to manage the firm’s marketing material review process as well as assisting with key compliance-related projects and initiatives, including those pertaining to testing, training, preparing regulatory filings, and designing, implementing and advising on policies and procedures.

Core Responsibilities

• Maintain European and APAC compliance policies and assist with drafting new policies and procedures.

• Assist with cross border license applications and NPPR filings across UK and Europe; lead cross-border distribution strategy and guardrails and support new license/registration applications

• Maintain Sixth Street FCA license. Manage additional permissions / extensions over time

• Assist with maintaining international jurisdiction specific Compliance/ fund distribution regulatory framework including compliance programmes in UK, Hong Kong and Singapore. Assist with future business growth areas by organizing and managing regulatory workstreams

• Support and have knowledge of key European regulatory initiatives and undertakings including, MiFID II, GDPR, Senior Managers’ regime, etc.

• Support the Compliance team with FCA, CCSF and local jurisdictional filing/ reporting requirements

• Assist with/coordinate European compliance trainings, testing, and regulatory readiness initiatives

• European conflicts check process including MNPI/ MAR/ Public-Private issues

• Support the Compliance team with marketing reviews and localizing marketing materials e.g. AIFMD, MiFID II, CBDF, and SFDR requirements

• Oversight of compliance third-party vendors

• Monitor regulatory developments and contribute to peer panels

What We Value

• Highly motivated, entrepreneurial, and team-oriented candidates with strong problem-solving skills

• Commercial and Results Orientation

• High Trust and Integrity

• Strong combination of organizational and interpersonal/communication skills

Preferred

• Experience working in a compliance function in asset management or private equity

• In-depth knowledge of UK and EU regulatory frameworks relevant to private assets (such as FCA, AIFMD, MiFID II, ESG and AML)

• Knowledge of CLOs and private fund registrations internationally

• Nice to have: SEC Marketing Rule knowledge 

• At least 6+ years of proven experience

• Bachelor’s Degree; MBA

• Self-starter who requires little direction

• Ability to multi-task and maintain composure in a high-volume environment

• Strong sense of urgency; ability to execute quickly and efficiently with strong attention to detail

• Strong verbal and written communication abilities

• Structured problem solver who can synthesize sophisticated information from a variety of sources into implementable recommendations and solutions

• Ability to collaborate effectively across multiple teams.

• Strong prioritization and project management skills.

• Comfort working in a high growth, iterative environment

About Sixth Street

Founded in 2009, Sixth Street is a leading global investment firm dedicated to developing themes and offering solutions to companies across all stages of growth.

Our firm is designed for cross-platform collaboration at scale: we build businesses, invest for growth, acquire assets, provide direct financing, identify value in public markets, purchase royalty streams, and regularly develop first-of-their-kind structures to meet the strategic objectives of management teams.

We do all this globally and as one unified team of investment and control-side professionals working on behalf of our institutional investors and their beneficiaries around the world.

We believe our commitment to diversity, equity, and inclusion is a competitive advantage. Everyone on our team contributes their perspectives and expertise to help us solve complex challenges and get to the right answer. At Sixth Street, the best idea wins.

From how we conduct business to how we engage in our communities, everything we do at Sixth Street is rooted in our commitment to our core values: 

• Cross-Platform: We collaborate across the business and avoid silos at all costs.

• Responsibility: We are accountable for our business, to our team, and to our communities.

• Ethical: We are ethical and direct in all words and actions.

• Action: We initiate, execute, and deliver results.

• Teamwork: We are better together.

• Entrepreneurship: We seek to innovate both inside and outside our business.

For more information, visit the Sixth Street Careers site or follow us on LinkedIn.

Please refer to our applicant privacy notice for additional information on how we use your personal data for the purposes of the GDPR and/or the UK GDPR, as applicable.