Compliance Manager, Capital Markets

LOCATION:  Boston, MA

Bain Capital Overview

With approximately $185 billion of assets under management, Bain Capital is one of the world’s leading private investment firms. We create lasting impact for our investors, teams, businesses, and the communities in which we live. Over four decades we have strategically grown our platform to focus on Private Equity, Growth & Venture, Capital Solutions, Credit & Capital Markets, and Real Assets. Today, our team includes 1,880+ employees in 24 offices on four continents. 

We partner differently to help people and companies embrace possibility and realize potential. Founded as a private partnership in 1984, we have fostered a culture of innovation, entrepreneurialism, and agility, empowering our people to define and own their career trajectories. Today, our partnership approach enables us to pursue strategic growth, build enduring relationships with a robust external network, and collaborate across our integrated platform to connect the deep and diverse expertise that unlocks breakthrough insights.

Our people are the heart of our advantage. Colleagues at all levels have a seat at the table as they tackle business challenges with a principal investor mindset. By asking incisive questions, respectfully challenging one another, and remaining intellectually agile, we work together to achieve exceptional outcomes. 

For more information visit: Bain Capital

Position Overview

The position is part of the Capital Markets business unit compliance team but will work closely with members of the Capital Markets businesses and global Compliance team. 

Key Responsibilities:

• Serve as Compliance Officer for Capital Markets businesses, with an expected focus on Bain Capital Credit
• Address compliance and risk-related matters, including registered fund (mutual / interval vehicle) and private fund compliance
• Administer Restricted List and MNPI protocols
• Partner with the investment staff to trouble-shoot compliance-related questions
• Partner with the Trading Desks to assess trading compliance questions
• Coordinate and oversee regulatory filings, including Form ADV and Form PF, for Bain Capital’s Capital Markets businesses.

• Compile Compliance information for (i) Registered Fund / 40 Act reports and questionnaires, and (ii) investor DDQs.

Other responsibilities:

• Coordinate management of routine regulatory inquiries and exams
• Assist with compliance assurance matters and examination readiness
• Assist with, and respond to issues and questions identified by, firm testing activities
• Develop applicable policies and procedures for business unit functions
• Assist with marketing material review
• Work on long term projects aimed at strengthening the compliance program
• Coordinate with Compliance team on committee presentations

General Qualifications

• 8+ years of compliance experience
• Strong knowledge of registered and private funds, including 40 Act and credit vehicles
• Expertise in fixed income assets such as bank loans, high yield bonds, collateralized loan obligations, and other structured products
• Background working with investment staff, including traders and portfolio managers
• Familiarity with regulatory filings including Form ADV and Form PF
• Dedicated team player with a strong sense of ownership and follow-through skills
• Collegial and team-oriented
• Capacity to handle highly confidential and sensitive information
• Detail-oriented, conscientious and energetic professional with the ability to think creatively
• Strong written communication skills
• Excellent organizational and time management skills; ability to prioritize multiple projects with high attention to detail and adaptability
• Customer service orientation with strong interpersonal skills with the capacity to interact with outside parties and personnel across all levels of the firm
• Strong problem-solving and analytical skills
• Ability to prioritize responsibilities and work under deadlines