Compliance Paralegal - Regulated Funds at Carlyle Investment Management, LLC in New York, New York

Job Description:

Position Summary


The Compliance Assistant will provide support to the ongoing maintenance and oversight of The Carlyle Group's existing regulatory compliance programs to support Carlyle's registered investment companies 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 Carlyle Legal & Compliance team.



Responsibilities



50% of time



Support the Regulated Fund compliance programs, including:

• Assisting in the preparation and review of board materials, including compliance reports, regulatory updates, and fund governance matters.


• Supporting the drafting and maintenance of fund prospectuses, offering memoranda, and shareholder reports to ensure compliance with SEC regulations.


• Assisting in preparing and submitting regulatory filings, including Form N-PORT, N-CEN, ADV and other required SEC disclosures.


• Conducting conflicts of interest reviews for fund transactions, related-party dealings, and allocation of investment opportunities.


• Assisting with review and compliance oversight of affiliated transactions and valuation matters.


• Coordinating with internal and external parties to support annual and interim fund audits, regulatory examinations, and governance reviews.


• Monitoring and implementing changes to regulatory requirements affecting registered.


• Supporting proxy voting compliance and assisting with the review of fund proxy materials and shareholder communications.


• Engaging with external counsel for approval of transactions, fund governance matters, and other compliance-related legal reviews.


• Quarterly ATM Refreshes


• Due diligence requests lists


• Legal opinions and certifications


• Organize spreadsheet of stakeholders that need to provide materials with corresponding deadlines


• Follow up with stakeholders


• Collect and organize materials


• Serve as a Regulated Fund compliance liaison with the central Carlyle Legal & Compliance team as well as other Carlyle business units

30% of time



Team Administrator

• Providing administrative support to Legal & Compliance team, including: scheduling Regulated Fund board meeting and internal meetings and distributing materials for such meetings, scheduling service provide due diligence meetings and coordinating certain team projects and events.

20% of time



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

Qualifications



Education & Certificates

• Bachelor's degree


• 1-3 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


• 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 $441 billion of assets under management and more than half of the AUM managed by women, across 636 investment vehicles as of December 31, 2024. Founded in 1987 in Washington, DC, Carlyle has grown into one of the world's largest and most successful investment firms, with more than 2,300 professionals operating in 29 offices in North 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 believe that a wide spectrum of experiences and viewpoints drives performance and success. Our CEO, Harvey Schwartz, has stated that, "To build better businesses and create value for all of our stakeholders, we are focused on assembling leadership teams with the strongest insights from a range of perspectives." We strive to foster an environment where ideas are openly shared and valued. By bringing together teams with varied expertise and approaches, we enjoy a competitive advantage and create a stronger foundation for long-term success. Apply Now