CIFC OVERVIEW
Founded in 2005, CIFC Asset Management LLC (together with its affiliates, “CIFC” or the “Firm”) is a global credit manager with $49 billion in assets under management as of December 31, 2025. CIFC focuses across multiple disciplines including CLOs, structured credit, corporate credit, and opportunistic credit, as well as direct lending. With offices in Miami, New York and London, and serving over 400 investors globally, we have approximately 200 employees. For more information, please visit CIFC’s website at www.cifc.com.
Position Overview
The firm is seeking a Deputy Chief Compliance Officer (Deputy CCO) to play a critical, hands-on role in the administration and execution of the firm’s compliance program across the world. This position is ideal for a senior compliance professional with deep knowledge of the Investment Company Act of 1940, as amended, particularly as it applies to mutual funds and/or Business Development Companies (BDCs), who is both technically strong and highly operational. A plus would be a candidate who also has working knowledge of regulatory requirements in Europe and Asia. The Deputy CCO will work closely with the Chief Compliance Officer and across business functions to personally execute core compliance tasks, including regulatory filings, compliance reviews, and examination support. This is not a purely advisory or oversight role — the successful candidate must be willing and proactive in getting into the weeds, drafting filings, reviewing materials line-by-line, and owning deliverables. The role requires sound judgment, attention to detail, and a collaborative, team-player approach.
Key Responsibilities
Regulatory Filings & Investment Company Act Compliance
- Prepare, review, and manage regulatory filings, especially BDC and/or registered fund filings and disclosures
- Serve as a subject matter resource on Investment Company Act requirements, including governance, disclosure, and compliance obligations for mutual funds and/or BDCs
- Maintain regulatory calendars and ensure filings are accurate, complete, and timely
- Monitor regulatory developments affecting investment companies and advise on practical implementation
Compliance Program Execution & Oversight
- Assist in administering and enhancing the firm’s compliance policies and procedures
- Conduct quarterly compliance reviews, including testing, documentation, and issue tracking
- Support the annual compliance review process under Rule 206(4)-7
- Identify compliance gaps or risks and work collaboratively with the business to implement remediation
Client, Investor & Disclosure Oversight
- Review client and investor communications, marketing materials, and disclosures for regulatory compliance requirements under the Investment Company Act of 1940, as amended, and regulations in other jurisdictions (e.g., UK, European Union, Japan, Singapore)
- Assist in drafting and reviewing compliance-related correspondence
- Support responses to investor due diligence questionnaires and information requests
SEC Examinations & Regulatory Inquiries
- Actively prepare for and manage SEC examinations, including document collection, production, response drafting, and issue tracking
- Assist in responding to regulatory inquiries and follow-up communications from regulators worldwide (e.g., UK FCA, Luxembourg CSSF, Irish CBI)
Collaboration & Firmwide Support
- Serve as a practical, solution-oriented compliance partner to investment, operations, legal, and investor relations teams
- Contribute to compliance training and awareness initiatives
- Assist with board-level reporting and materials, including BDC or registered fund board updates
Qualifications & Experience
- Bachelor’s degree required
- Seven to twelve plus years of compliance experience at an SEC-registered investment adviser, mutual fund complex, BDC, or similar regulated asset management platform
- Critical requirement: Strong working knowledge of the Investment Company Act of 1940, as amended, with direct mutual fund and/or BDC experience
- Demonstrated experience preparing and managing investment company-related filings
- Hands-on experience with SEC examinations strongly preferred
- Highly detail-oriented, organized, and execution-focused with a willingness to do the work
- Strong written and verbal communication skills
- Professional judgment, discretion, and a collaborative, team-first mindset
Reporting Relationship
Reports directly to the Chief Compliance Officer and serves as a key day-to-day partner and trusted compliance resource across the firm