Firm Description

Sycamore Tree Capital Partners, L.P. (”Sycamore Tree”) is a value-oriented, active asset manager focused primarily on alternative credit, including bank loans, high yield credit, structured products, stressed, distressed and special situations investing.  Sycamore Tree launched at the end of 2020 and currently manages $700m+ AUM.  The firm is committed to building and maintaining a strong culture that embodies the following key principles: client-focus, excellence, integrity, humility, trust, and teamwork.


Responsibilities

The person in this position will play a critical role working with the Chief Operating Officer / Chief Compliance Officer and helping the firm administer Sycamore Tree’s compliance program with excellence. This role will also oversee document management and be heavily involved in legal document workflow management.

 

  • Oversee employee quarterly and annual Compliance Manual and Code of Ethics requirements (e.g., investment account certifications, outside business activity certifications, policy acknowledgements, etc.)
  • Manage daily employee requests (e.g., personal trading preclearance, restricted list adds/deletions, political contributions, outside business activities, gifts and entertainment, etc.)
  • Take ownership of the day-to-day management of the compliance monitoring solution, ComplySci, taking the lead on onboarding new brokers for automated employee statement feeds
  • Contribute to the creation and maintenance of regulatory filings
  • Assist in the preparation and review of private fund marketing and offering material packages and related document management
  • Aid in prequalification reviews of private fund prospects, subscription document reviews and related information management and distribution activities
  • Assist in new employee onboarding / offboarding and document management as it relates to compliance matters
  • Assist with vendor due diligence and oversight
  • Oversee the NDA process working with the appropriate parties
  • Spearhead documentation management and signature acquisition
  • Provide strong compliance support and execution with respect to all ad-hoc projects assigned by CCO
  • Build and maintain the compliance calendar and all related tasks and deadlines
  • Focus on automation and continuous improvement of all compliance processes.


Qualifications

  • 2+ years’ experience in a compliance role or a paralegal role at a financial services, private equity, private debt or hedge fund firm with knowledge of the Investment Advisers Act of 1940, the Investment Company of 1940, and the day-to-day compliance affairs of corporate compliance
  • Undergraduate degree
  • Experience with ComplySci or a similar compliance solution is strongly preferred
  • Strong analytical abilities with attention to detail
  • Demonstrated ability to work successfully with others at all levels of the organization in order to get things done
  • Strong work ethic and a proactive approach with a high level of initiative
  • Intellectually curious with a strong desire to learn and grow
  • Excellent organizational and project management skills with follow-through
  • Strong interpersonal, writing and presentation skills
  • Desire to work in an entrepreneurial environment and add value beyond designated role/responsibilities
  • Proven desire and ability to work in an environment of multiple projects, tasks, and deadlines

Compensation & Benefits

Sycamore Tree offers a competitive base salary plus a discretionary bonus based on defined performance criteria, encouraging alignment of interests among the firm’s clients/investors.  We also provide an attractive employee benefits package.  We are an Equal Opportunity Employer. 

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