Senior Compliance Associate

Job Description:

The Role

Sixth Street’s Compliance team partners with all aspects of Sixth Street to build and maintain a best-in-class compliance program that addresses applicable regulatory requirements and industry best practices. The Compliance Officer will be a key team player in managing, executing, and enhancing the firm’s marketing and distribution process. The Compliance Officer will also drive key compliance-related projects and initiatives, including those pertaining to Sixth Street’s Global Capital Markets platform, compliance testing, training, regulatory filings, and designing, implementing and advising on policies and procedures.

Core Responsibilities

• Own the marketing material review and approval process for high volumes of marketing materials, due diligence questionnaires, social media, and investor relations materials to ensure compliance with all applicable regulations, including SEC, FINRA and other relevant guidelines
• Utilize deep understanding of the SEC Marketing Rule to act as a key advisor to Sixth Street’s Capital Formation and Strategy team on private fund and separately managed account marketing
• Manage and maintain Sixth Street’s Global Capital Markets compliance program
• Collaborate with senior internal stakeholders on future business growth areas by organizing and managing regulatory workstreams
• Manage and drive regulatory reporting obligations (e.g., ADV, Form PF)
• Design and draft policies and procedures and lead new compliance initiatives as the compliance environment and business evolves
• Enhance compliance workflows and create efficiencies in processes by collaborating with Engineering in utilizing technology and AI
• Review regulatory developments and implement procedures to ensure platform compliance with all applicable rules and regulations

What We Value

• Highly motivated, entrepreneurial, and team-oriented candidates
• Ownership mentality / Entrepreneurial mindset
• High energy and integrity
• Highly curious and motivated
• Self-starter who requires little direction
• Strong analytical and problem-solving skills
• Strong combination of organizational and interpersonal/communication skills
• Strong academic credentials

Preferred

• 5+ years of relevant compliance experience at an asset manager or private fund investment adviser
• Strong understanding of SEC Marketing Rule and application of rule in private fund marketing
  • Bachelor’s Degree; MBA and/or JD [optional]
  • Detail-oriented, responsible and proactive
  • Ability to handle multiple tasks simultaneously and work under pressure
  • Strong written and oral communication skills
  • Deadline-oriented to meet time-sensitive contractual requirements
  • Candidate must be self-motivated and willing to work in a team environment across multiple offices
  • Ideal candidate will be a team player, able to work collaboratively across different teams, and train team members on areas of expertise

About Sixth Street

Sixth Street is a leading global investment firm founded in 2009. Our long-term oriented, highly flexible capital base and "One Team" cultural philosophy allow us to invest thematically across sectors, geographies, and asset classes.

We aren’t looking any single type of person. Our strength is in our team, a collection of people from different backgrounds and with their own perspectives, united in the mission of being the world’s best investment firm. 

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 principles: 

• We have a bias towards Action. We initiate, execute and deliver results.
• We have Integrity. We are ethical and direct in word and deed.
• We are Responsible. We are accountable for our business, to our team, and to our communities.
• We value Teamwork. We are humble and better together
• We are Intra- and Entrepreneurial.  We seek to innovate both inside and outside our business.
• We have a Cross-Platform Focus. We think across the business and avoid silos at all costs.

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

Sixth Street is proud to be an Equal Opportunity employer and we encourage people from underrepresented backgrounds to apply. We do not discriminate based upon race, religion, color, national origin, genetic history, marital status, gender (including pregnancy, childbirth, or related medical conditions), sexual orientation, gender identity, gender expression, age, veteran status, disability, or other applicable legally protected characteristics.

Please refer to the privacy notice on our website for additional information regarding our obligations under the California Consumer Privacy Act (“CCPA”).

Sixth Street is proud to be an Equal Opportunity employer. We do not discriminate based upon race, religion, color, national origin, genetic history, marital status, gender (including pregnancy, childbirth, or related medical conditions), sexual orientation, gender identity, gender expression, age, veteran or military status, disability, genetic predisposition, status as a victim of domestic violence, a sex offense or stalking, or any other class or status in accordance with applicable federal, state and local laws.

Pursuant to the San Francisco Fair Chance Ordinance, Sixth Street will consider for employment qualified applicants with arrest and conviction records.

If you need a reasonable accommodation to fill out this application, please contact Cindy Bombara.

Please refer to the privacy notice on our website for additional information regarding our obligations under the California Consumer Privacy Act (“CCPA”).

If you are not eligible for this role, please refer to our Careers Page for other opportunities.