Senior Compliance Officer

Posted Nov 28

Description

Company Description

Greenbacker Capital (“Greenbacker”) is an investment management firm that focuses on renewable energy and sustainable infrastructure investing. Since its’ founding in 2011, Greenbacker has grown to over 200 employees, located in four offices (New York City, Portland, ME, Montpelier, VT and Denver, CO), and a number of additional individual locations throughout the United States. With over 60 years of combined infrastructure investment experience and more than $20 billion in combined transactions across the investment team, we are positioned as a market leader in sustainable infrastructure investments. We invest in a diversified portfolio of income-producing renewable energy power facilities and energy efficiency projects that sell power under long-term contract to high credit worthy counterparties such as utilities, municipalities, and corporations.

Greenbacker strives to create a workforce that encourages a supportive and inclusive culture by promoting diversity and excluding all forms of discrimination. At Greenbacker we strongly value the unique talents of our employees and endeavor to foster an environment in which every employee is respected and valued regardless of age, gender identity, sexual orientation, race, religion, disability, marital status, and pregnancy or maternity. Greenbacker seeks candidates for employment, promotion, training, or any other benefit, based on their aptitude and ability, and aims to provide support and resources for all employees to reach their full potential.

Please visit our website at www.greenbackercapital.com to further understand our company, team, and portfolio of assets.

We are seeking a highly skilled Senior Compliance Officer. The ideal candidate will have extensive experience in investment management compliance and regulatory matters, particularly with the U.S. Securities and Exchange Commission (SEC). This role requires a strategic leader who can implement and enhance compliance frameworks and ensure the organization's marketing materials and business practices align with industry regulations. This role will report directly into the General Counsel.

This role is primarily remote, with regular travel to the NYC office required. Candidates must be located within 100 miles of the NYC office.

Key Responsibilities:

  • Oversee the compliance program for the firm's registered investment advisor, ensuring adherence to SEC regulations and industry best practices.
  • Develop, implement, and maintain compliance policies, procedures, and controls across the organization.
  • Conduct regular compliance reviews and audits to ensure the firm meets regulatory obligations.
  • Review and approve marketing materials, ensuring compliance with regulatory requirements.
  • Collaborate with internal teams to provide guidance on regulatory compliance matters, especially related to investment management activities.
  • Lead internal investigations and audits, reporting findings and recommending corrective actions.
  • Monitor regulatory developments and communicate changes in relevant laws, rules, and regulations to stakeholders.
  • Prepare and submit required filings and reports to the SEC and other regulatory bodies as necessary.
  • Provide training and education to employees on compliance policies and practices.

Requirements

Qualifications:

  • Bachelor’s degree in law, finance, business, or related field; advanced degree or relevant certification
  • 8-10 years of experience in compliance, preferably within the asset management or investment advisory industry.
  • Proven experience managing a compliance program for an SEC-registered investment advisor.
  • In-depth knowledge of SEC regulations and experience working with marketing and advertising materials within the investment management sector.
  • Strong leadership and communication skills, with the ability to collaborate cross-functionally and influence decision-making.
  • Ability to work independently in a remote environment while maintaining strong attention to detail and organizational skills.
  • Experience with renewable energy or sustainable investment practices is a plus but not required.

Key Skills:

  • Investment management compliance
  • SEC regulatory expertise
  • Marketing material review and compliance
  • Policy development and implementation
  • Risk management and audits
  • Strong communication and leadership skills

Benefits

  • Medical: 5 United Health Care Oxford options
  • Dental: Guardian – two options
  • Vision: Guardian / VSP – one option (100% employee paid)
  • Life and AD&D: Short term and long-term disability (both 100% employer paid)
  • Retirement/401(K): ADP/Voya with 50% match up to 6% of salary
  • Other: Medical and dependent care / Health Savings Accounts, Pre-tax commuter benefits through Optum
  • Time Off: 20 days paid time off, 7 sick days a year, 32 hours of VTO a year.
  • Mental Health: Modern Health: 24/7 access to Coaching and Therapy sessions for employees and dependents
  • Family Building: Coverage for infertility, adoption, surrogacy, and 16 weeks of family leave.