Compliance Assistant
Carlyle Investment Management, LLC

Job Info

Position Summary

The Compliance Assistant will provide support to the ongoing maintenance and oversight of The Carlyle Group's existing regulatory compliance programs within Carlyle's Global Credit segment ("Global Credit"), and in particular the Global Credit funds that are regulated under the Investment Company Act of 1940 ("1940 Act") ("Regulated Funds"). This role will focus primarily on supporting the compliance and regulatory activities of the Regulated Funds, including record-keeping, monitoring, reviewing and testing, as well as providing administrative support to certain members of the Global Credit Legal & Compliance team.

Key Duties/Responsibilities

  • Support the Regulated Fund compliance programs, including:
    • Assist with regulatory reports and filings, and other Regulated Fund documentation
    • Administering Regulated Fund and Global Credit policies and procedures, including monitoring, reviewing and testing activities
    • Assist in the preparation of quarterly and annual reports to Regulated Fund boards
    • Maintain books and records of the Regulated Fund platform
    • Work with third-party compliance consultants in connection with the annual review of Global Credit and the Regulated Funds
    • Serve as a Regulated Fund compliance liaison with the central Carlyle Legal & Compliance team as well as other Carlyle business units
  • Team Administrator
    • Providing administrative support to the Global Credit Legal & Compliance team, including: scheduling Regulated Fund board meeting and internal meetings and distributing materials for such meetings, and coordinating certain team projects and events.
  • Other Firm Compliance Programs
    • Assist with ad-hoc compliance projects as needed
    • Providing compliance support to the firm's other teams as requested
    • Assisting with employee inquiries and other compliance matters


    Education & Certificates
    • Bachelor's degree
    Professional Experience
    • A minimum of 1+ years of professional experience preferred
    • Experience in compliance, regulatory, private equity fund, hedge fund, or asset management firm is desirable
    • Strong Microsoft Office and computer skills
    Competencies & Attributes
    • Strong analytical and problem-solving skills, proactive, ability to prioritize and handle multiple work streams
    • Excellent verbal/written communication skills (English)
    • Self-starter with strong organizational and interpersonal skills and particular attention to detail
    • Ability to work independently as well as effectively as part of a team
    • Superior work ethic, professional habits and attention to detail
    • Organized and logical thinker

    Company Information

    The Carlyle Group (NASDAQ: CG) is a global investment firm with $260 billion of assets under management and more than half of the AUM managed by women, across 437 investment vehicles as of March 31, 2021. Founded in 1987 in Washington, DC, Carlyle has grown into one of the world's largest and most successful investment firms, with more than 1,800 professionals operating in 29 offices in North America, South America, Europe, the Middle East, Asia and Australia. Carlyle places an emphasis on development, retention and inclusion as supported by our internal processes and seven Employee Resource Groups (ERGs). Carlyle's purpose is to invest wisely and create value on behalf of its investors, which range from public and private pension funds to wealthy individuals and families to sovereign wealth funds, unions and corporations. Carlyle invests across three segments - Global Private Equity, Global Credit and Investment Solutions - and has expertise in various industries, including: aerospace, defense & government services, consumer & retail, energy, financial services, healthcare, industrial, real estate, technology & business services, telecommunications & media and transportation.
    At Carlyle, we know that diverse teams perform better, so we seek to create a community where we continually exchange insights, embrace different perspectives and leverage diversity as a competitive advantage. That is why we are committed to growing and cultivating teams that include people with a variety of perspectives, people who provide unique lenses through which to view potential deals, support and run our business. As our Chief Executive Officer, Kewsong Lee, stated, "We seek to attract individuals from a broad set of backgrounds and experiences because we know that diverse teams ask better questions and inclusive teams find better answers. Our diverse and inclusive community makes us better partners and ultimately, helps us to build better."

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