The Firm
Founded in 1988, Prospect Capital is an alternative asset management firm with $7.3B+ of assets under management, including permanent capital. Prospect pursues multiple strategies in the US, including direct lending, private equity, real estate private equity and structured credit. Prospect has a long-term, value-oriented approach that employs fundamental bottoms-up research to identify investments that offer attractive risk and reward.
With headquarters in New York City, the firm is comprised of 100+ experienced professionals who value entrepreneurship, intellectual rigor, hard work and continuous improvement.
The Position
We are seeking a motivated and detail-oriented Vice President, Legal and Compliance to join our legal and compliance team. The ideal candidate is intellectually curious, highly organized, team-oriented and eager to grow.
Corporate & Securities Matters
- Provide support for required filings under securities laws, including Form 10-Ks, Form 10-Qs, 8-Ks, registration statements, prospectuses and proxy statements.
- Assist with NASDAQ and NYSE compliance activities, including reporting organizational changes and filings of annual and interim reports.
- Assist with preparation of materials for meetings of the Board of Directors and its committees, including drafting resolutions.
- Handle corporate governance matters, including research and maintenance of records relating to the Board of Directors.
- Draft, review, and file corporate and transactional documents.
- Support special corporate governance and capital markets projects as the need arises and other tasks, strategic projects, or duties as needed.
Compliance Support
- Assist with the firm’s regulatory compliance program, including maintaining, updating and supervising the firm’s compliance policies and procedures and conducting employee training and annual reviews.
- Help manage Comply, the firm’s software for administering employee Code of Ethics obligation, including personal trading and gifts & entertainment.
- Support regulatory filings, including Form ADVs and related regulatory reports.
- Support the firm’s marketing compliance program, including review of marketing materials.
- Assist with preparation for regulatory examinations and help coordinate responses to regulatory inquiries.
- Support special compliance projects as the need arises and other tasks, strategic projects, or duties as needed.
Desired Skills and Experience
- Bachelor’s degree from a leading college or university.
- 5 or more years of experience in a corporate legal department, law firm, or compliance role, preferably within investment management or financial services.
- Exposure to or working knowledge of investment adviser, investment company or industry related compliance (e.g., Investment Advisers Act, Investment Company Act, Securities Exchange Act, and FINRA rules) is a plus.
- Experience or working knowledge of securities filings, corporate governance, entity management, and due diligence.
- Ownership mentality and strong organizational skills.
- Excellent analytical and communication skills.
- Ability to produce high-quality work in a deadline-driven environment.
The anticipated base salary range for this position is $150,000 - $200,000 plus an annual discretionary performance-based bonus. Actual pay may be adjusted based on experience and performance.
In addition to the base salary, the hired professional is eligible for comprehensive benefits including 100% employer-paid Life Insurance, and AD&D. You'll also have access to pretax benefit accounts, including FSA, HSA, and Commuter accounts. Our perks go beyond the basics with a mentorship program, daily in-office paid breakfast and lunch, company-sponsored ski and sailing trips, and regular happy hours. Details of participation in these benefit plans will be provided if an employee receives an offer of employment.