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[Hiring] Senior Compliance Officer @Greenbacker Capital image - Rise Careers
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[Hiring] Senior Compliance Officer @Greenbacker Capital

Nov 26, 2024 - Greenbacker Capital is hiring a remote Senior Compliance Officer. Location: USA.Company DescriptionGreenbacker Capital (“Greenbacker”) is an investment management firm that focuses on renewable energy and sustainable infrastructure investing. Since its founding in 2011, Greenbacker has grown to over 200 employees, located in four offices (New York City, Portland, ME, Montpelier, VT and Denver, CO), and a number of additional individual locations throughout the United States. With over 60 years of combined infrastructure investment experience and more than $20 billion in combined transactions across the investment team, we are positioned as a market leader in sustainable infrastructure investments. We invest in a diversified portfolio of income-producing renewable energy power facilities and energy efficiency projects that sell power under long-term contract to high credit worthy counterparties such as utilities, municipalities, and corporations.Greenbacker strives to create a workforce that encourages a supportive and inclusive culture by promoting diversity and excluding all forms of discrimination. At Greenbacker we strongly value the unique talents of our employees and endeavor to foster an environment in which every employee is respected and valued regardless of age, gender identity, sexual orientation, race, religion, disability, marital status, and pregnancy or maternity. Greenbacker seeks candidates for employment, promotion, training, or any other benefit, based on their aptitude and ability, and aims to provide support and resources for all employees to reach their full potential.We are seeking a highly skilled Senior Compliance Officer. The ideal candidate will have extensive experience in investment management compliance and regulatory matters, particularly with the U.S. Securities and Exchange Commission (SEC). This role requires a strategic leader who can implement and enhance compliance frameworks and ensure the organization's marketing materials and business practices align with industry regulations. This role will report directly into the General Counsel.This role is primarily remote, with regular travel to the NYC office required. Candidates must be located within 100 miles of the NYC office.Key Responsibilities:• Oversee the compliance program for the firm's registered investment advisor, ensuring adherence to SEC regulations and industry best practices.• Develop, implement, and maintain compliance policies, procedures, and controls across the organization.• Conduct regular compliance reviews and audits to ensure the firm meets regulatory obligations.• Review and approve marketing materials, ensuring compliance with regulatory requirements.• Collaborate with internal teams to provide guidance on regulatory compliance matters, especially related to investment management activities.• Lead internal investigations and audits, reporting findings and recommending corrective actions.• Monitor regulatory developments and communicate changes in relevant laws, rules, and regulations to stakeholders.• Prepare and submit required filings and reports to the SEC and other regulatory bodies as necessary.• Provide training and education to employees on compliance policies and practices.RequirementsQualifications:• Bachelor’s degree in law, finance, business, or related field; advanced degree or relevant certification.• 8-10 years of experience in compliance, preferably within the asset management or investment advisory industry.• Proven experience managing a compliance program for an SEC-registered investment advisor.• In-depth knowledge of SEC regulations and experience working with marketing and advertising materials within the investment management sector.• Strong leadership and communication skills, with the ability to collaborate cross-functionally and influence decision-making.• Ability to work independently in a remote environment while maintaining strong attention to detail and organizational skills.• Experience with renewable energy or sustainable investment practices is a plus but not required.Key Skills:• Investment management compliance• SEC regulatory expertise• Marketing material review and compliance• Policy development and implementation• Risk management and audits• Strong communication and leadership skillsBenefits• Medical: 5 United Health Care Oxford options• Dental: Guardian – two options• Vision: Guardian / VSP – one option (100% employee paid)• Life and AD&D: Short term and long-term disability (both 100% employer paid)• Retirement/401(K): ADP/Voya with 50% match up to 6% of salary• Other: Medical and dependent care / Health Savings Accounts, Pre-tax commuter benefits through Optum• Time Off: 20 days paid time off, 7 sick days a year, 32 hours of VTO a year.• Mental Health: Modern Health: 24/7 access to Coaching and Therapy sessions for employees and dependents• Family Building: Coverage for infertility, adoption, surrogacy, and 16 weeks of family leave.
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What You Should Know About [Hiring] Senior Compliance Officer @Greenbacker Capital, Greenbacker Capital

Are you an experienced compliance professional with a passion for sustainable investment? Greenbacker Capital is on the lookout for a Senior Compliance Officer to join our dynamic team! As a leader in renewable energy and sustainable infrastructure investing, we are proud to have a diverse and inclusive workplace that values every employee's unique talents. In this role, you will report directly to our General Counsel and play a pivotal part in overseeing our compliance program for the firm’s registered investment advisor. This role is primarily remote, but you will need to travel regularly to our NYC office, so applicants must be within 100 miles of New York City. Your responsibilities will include developing and maintaining compliance policies, conducting audits and reviews, and collaborating with internal teams to navigate regulatory matters effectively. You’ll dive deep into SEC regulations, ensuring that all marketing materials align with compliance requirements while fostering an environment of continuous improvement. You should possess approximately 8 to 10 years of compliance experience within the asset management industry, and familiarity with renewable energy practices is a bonus! Join us in our mission to create a supportive work culture where everybody has the opportunity to thrive, and help us ensure our marketing practices are faultless and compliant. If you’re ready to make an impact with a leading investment management firm, we’d love to hear from you!

Frequently Asked Questions (FAQs) for [Hiring] Senior Compliance Officer @Greenbacker Capital Role at Greenbacker Capital
What are the primary responsibilities of a Senior Compliance Officer at Greenbacker Capital?

As a Senior Compliance Officer at Greenbacker Capital, your main responsibilities include overseeing compliance with SEC regulations for the firm's registered investment advisor, developing and implementing compliance policies, conducting compliance reviews and audits, and ensuring that marketing materials are compliant with the necessary regulatory requirements. You will also collaborate with internal teams to address compliance matters and lead internal investigations when necessary.

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What qualifications are necessary for the Senior Compliance Officer position at Greenbacker Capital?

To qualify for the Senior Compliance Officer role at Greenbacker Capital, candidates should possess a bachelor's degree in law, finance, business, or a related field. An advanced degree or relevant certification is preferred. Additionally, you should have 8-10 years of experience in compliance, particularly within the investment management or advisory industry, with proven expertise in managing a compliance program for SEC-registered investment advisors.

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How can a Senior Compliance Officer advance compliance frameworks at Greenbacker Capital?

In the role of Senior Compliance Officer at Greenbacker Capital, you can advance compliance frameworks by developing and implementing comprehensive compliance policies, conducting regular audits, and actively monitoring regulatory developments. Your leadership will ensure that the firm not only adheres to current regulations but is also positioned to adapt to future changes in the investment management landscape.

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Is remote work a possibility for the Senior Compliance Officer at Greenbacker Capital?

Yes, the Senior Compliance Officer role at Greenbacker Capital is primarily remote. However, candidates must be located within 100 miles of the NYC office, as regular travel to the office is required for collaboration and meetings.

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What kind of support does Greenbacker Capital provide for compliance training?

Greenbacker Capital is dedicated to ensuring all employees are well-versed in compliance matters. As a Senior Compliance Officer, you will have the opportunity to provide training and education on compliance policies and practices, fostering a culture of awareness and responsibility throughout the organization.

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Common Interview Questions for [Hiring] Senior Compliance Officer @Greenbacker Capital
Can you explain your experience managing compliance within an investment management context?

It's important to structure your response by outlining specific examples from your past experiences. Mention the types of compliance programs you've led, key regulations you've managed, and any challenges you successfully navigated. Highlight your ability to ensure adherence to SEC regulations and how you communicated compliance practices with internal teams.

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How do you stay updated on regulatory changes relevant to asset management?

Discuss your proactive approaches to stay informed, such as subscribing to regulatory updates, attending related conferences, or joining professional organizations. Emphasize your commitment to continuous learning and how you relay important changes to your team.

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Describe a time you identified a compliance issue. How did you handle it?

Use the STAR method (Situation, Task, Action, Result) to frame your answer. Clearly describe the compliance issue, the steps you took to investigate it, and the resolution. Highlight the positive outcome and any improvements made to prevent future occurrences.

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What strategies would you employ to enhance compliance at Greenbacker Capital?

Your answer can involve developing tailored compliance policies, conducting regular training sessions for employees, and implementing audits to ensure adherence. Highlight the importance of a strong compliance culture and open communication within the team.

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How do you assess the effectiveness of compliance training programs?

Discuss your methods for evaluating training effectiveness, such as gathering feedback from participants, tracking compliance incidents pre and post-training, and utilizing assessments to measure knowledge retention. Emphasize the importance of adapting programs based on results.

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What experience do you have with marketing compliance in investment management?

Highlight your past involvement in reviewing and approving marketing materials to ensure they meet regulatory standards. Provide examples, if possible, where you had to address potential compliance issues in marketing strategies and how you navigated those situations.

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Can you share how you've collaborated with cross-functional teams to ensure compliance?

Provide specific examples of how you have worked with various departments to educate and ensure compliance across the board. Emphasize your communication skills and ability to build relationships to champion compliance initiatives.

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What do you believe are the biggest compliance challenges facing the asset management industry today?

Discuss current trends or changes in regulations that could impact compliance efforts, such as increased scrutiny from the SEC or evolving industry standards. Share your perspective on how firms can navigate these challenges effectively.

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Explain how you would prioritize compliance tasks in a busy environment.

Talk about your approach to prioritization and time management. You might suggest creating a compliance calendar, addressing urgent matters first, and ensuring long-term compliance goals are also met. Provide examples of how you’ve handled prioritization in the past.

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What are your thoughts on building a compliance culture within the organization?

Emphasize the importance of fostering an environment where compliance is viewed as everyone's responsibility. Discuss potential initiatives, such as regular training, open communication about regulatory requirements, and embedded compliance practices in daily operations.

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December 20, 2024

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