Principal, Regulatory Compliance / COO, Global Capital Markets

Full Time

Investment Banking Client

Office Status: Hybrid

Responsibilities:

  • Oversight of Capital Markets (including Broker Dealer) Activity:
    • The individual will supervise members of the Capital Markets team when engaging in investment banking and securities-related activities, such as underwriting or privately placing securities, and will ensure overall compliance with FINRA and SEC regulations and responsibilities
    • Responsible for managing review and approval of, and executing, all documentation on behalf of TCG Capital Markets and TCG Senior Funding for Capital Markets transactions (e.g., purchase agreements, underwriting agreements, commitment letters, fee letters, etc.) and responsible for reviewing marketing materials in connection with public debt or equity offerings in which Capital Markets is an underwriter (e.g., offering memorandum, registration statement/prospectus)
    • Manage audits (internal and external) or other regulatory inquiries related to CGCM activities, including serving as primary point of contact with internal partners (accounting, legal and compliance)
    • Provide ongoing advice and guidance to Capital Markets team to ensure adherence to client’s policies and standards; responsible for monitoring regulatory developments for changes in regulation and interpretive guidance
    • Monitor fee pipeline and maintain rate cards, including tracking of fee comp data points
  • Management of Internal Approval Process:
    • Keep key internal constituents (accounting, fund management/fund formation, legal and compliance) apprised of upcoming Capital Markets activity and fees
    • Oversee preparation of committee approval memo and coordinate with legal & compliance as needed ahead of seeking committee approval
    • Manage the committee approval process, including leading committee discussions and keeping committee members apprised of upcoming Capital Markets activity on an ad-hoc basis
    • Oversee appropriate file retention and preparation of closing memos, including coordination of legal and compliance sign off
  • Collaborate with Internal Partners (Accounting, Fund Management, Legal & Compliance) and Liaise with External FinOp and Regulatory Counsel:
    • The individual will be a point of contact for internal colleagues in Accounting, Fund Management, and Legal & Compliance to ensure all appropriate internal parties are aware of Capital Markets fee-related activities; responsibilities with internal parties outlined below
    • Accounting: Discuss historical and upcoming Capital Markets activity and fee-related accounting, participate in ad-hoc discussions with accounting / FP&A regarding capital requirements for day-to-day operations as well as projecting any larger near term capital needs, and keep accounting apprised of current and upcoming balance sheet commitments
    • Fund Management / Fund Formation: Coordinate with Fund Management and Fund Formation regarding fee protocols and disclosure
    • Legal & Compliance: Manage completion of conflicts checks; work with compliance and external FinOp on quarterly broker dealer filings
    • In addition, the COO will interface with ExternalFinOp and outside regulatory counsel, as further described below
    • External FinOp: Coordinate with External FinOp to ensure compliance with regulatory capital requirements
    • Outside Regulatory Counsel: Engage with outside counsel as needed in order to address one-off matters related to regulatory compliance; in conjunction with legal and compliance, coordinate periodic review and updating of Capital Markets procedures and policies
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