Compliance Officer

Who we are looking for:

First Eagle is seeking a Compliance Officer for their compliance team. The position could be based in Chicago or New York.  The successful candidate will be responsible for implementing and enhancing First Eagle’s compliance program. The candidate will help ensure the investment adviser’s, international, and broker-dealer’s compliance with all applicable regulations, particularly the requirements of the SEC, FCA, FINRA and other regulators.

What you will do:

• Assist with the administration of the Firm’s restricted securities list including the review of non- disclosure agreements, market soundings, wall crossings and potential material, non-public information.
• Advise business areas on firm policies and procedures and applicable securities laws and regulations.
• Provide ongoing support to the alternative credit and municipal bond Portfolio Management teams.
• Assist in ensuring the timely and accurate filing of regulatory reports for the adviser including the Form ADV and Form PF.
• Help evaluate the adequacy and effectiveness of policies, procedures and internal controls.
• Assist in the annual review/testing of applicable policies and procedures in accordance with SEC Rules 206(4)-7 and 38(A)-1.
• Perform daily surveillance of e-communications of the adviser or broker-dealer personnel.
• Assist AML Officer with oversight of transfer agents and administrators as well as perform monthly and quarterly Office of Foreign Asset Control checks.
• Contribute to the review of daily transaction alerts.
• Assist the CCO with responses to regulatory examinations and audits.
• Participate in compliance related projects and any ad hoc requests.

The qualities you should have:

• Undergraduate degree, preferably in finance, business, or liberal arts.
• 5+ years of experience in the compliance, financial services industry.
• Strong desire to grow within the compliance field.
• Dynamic and effective communication and interpersonal skills, focus and perseverance.
• Knowledge of alternative credit and fixed income.
• Strong sense of personal accountability and a work ethic to do what it takes to get the job done.
• Strong client relationship skills and the ability to communicate effectively.

Base Salary range: $120,000 to $160,000. Compensation may vary based upon, but not limited to – the individual's skills, experience, qualifications, and internal equity. 

We value our people and offer a broad range of benefits. We provide generous paid time-off, medical/dental/vision healthcare plans, 401(k) retirement and profit-sharing plans, a flexible/hybrid work environment, “dress for the day” flexible work attire, and many more great benefits. For more information, please refer to our First Eagle Benefits website.

First Eagle Investments and their affiliates and subsidiaries, including First Eagle Alternative Credit and Napier Park Global Capital, is an Equal Opportunity Employer.  Equal Employment Opportunity has been, and will continue to be, a fundamental principle at First Eagle, where employment is based upon personal capabilities and qualifications without regard to race, color, religious belief, including dress and grooming practices, sex, sexual orientation, gender identity, gender expression, age, national origin, marital status, citizenship, disability, veteran status, pregnancy, breastfeeding or medical conditions related to breastfeeding, status as a victim of domestic violence, sexual assault, or stalking, or any other basis protected by applicable federal, state or local law, genetic information or characteristics (or those of a family member), or any other protected characteristic as established by law.