HPS Investment Partners is a leading global investment firm that seeks to provide creative capital solutions and generate attractive risk-adjusted returns for our clients. We manage various strategies across the capital structure that include syndicated leveraged loans and high yield bonds to privately negotiated senior secured debt and mezzanine investments, asset-based leasing and private equity. The scale and breadth of our platform offers the flexibility to invest in companies large and small, through standard or customized solutions. At our core, we share a common thread of intellectual rigor and discipline that enables us to create value for our clients, who have entrusted us with approximately $109 billion of assets under management as of December 2023. HPS has approximately 200 investment professionals and over 650 total employees, and has fifteen offices globally.
HPS believes in the importance of giving back to its communities, and in promoting diversity and inclusivity at the firm. We are dedicated to fostering enduring community relationships, and we support our team’s community involvement through volunteer work, board service, and other contributions. In addition, environmental, social, and governance (ESG) considerations are central to HPS’s culture and investment processes.
Position Description
This is a generalist compliance position that will primarily support a newly registered Broker Dealer as well all aspects of the Firm’s businesses.
Responsibilities
The candidate must have strong Broker Dealer background, effective communication skills and be comfortable working on multiple projects with varying degrees of complexity, duration, and teams concurrently. The candidate must be a self-starter and able to work with minimal supervision.
-
Be a subject matter expert with respect to Broker Dealer compliance, including but not limited to, marketing, suitability and Reg BI
-
Be knowledgeable about information barriers and restricted list implications
-
Become knowledgeable with respect to a complex set of business strategies, funds, and fund guidelines
-
Able to interface directly with Investment Professionals in a fast-paced environment
-
Knowledgeable about AML/KYC
-
Able to conduct routine, targeted, and ad hoc testing / surveillance
-
Monitor adherence to the Firm’s Code of Ethics (personal trading, gifts and entertainment, political contributions, etc.).
-
Provide support to members of compliance group as required
-
Other duties as assigned
-
FINRA licenses 7 and 24 required
Qualifications:
-
Bachelor’s Degree
-
Demonstrated record of academic achievement, a university graduate, corporate experience a plus
-
6-8 years of work experience in the financial services industry
-
Excellent written and verbal communication skills
-
Strong technical and analytical skills
-
Highly organized, proactive, and attentive to detail
-
Reliable and entrepreneurial spirit
-
Team-player who enjoys working in a dynamic environment
Location:
-
New York
Hybrid Work Schedule
-
4/1 split (F work from home, M-Th work from office)
The base salary range for this position is $150,000 - $175,000 but may vary based on various factors including job function, experience and geographic location. This position is eligible for a discretionary annual bonus.
HPS Investment Partners is an equal opportunity employer. HPS does not discriminate in employment opportunities or practices on the basis of race, national origin, color, religion, sex, age, disability, pregnancy, citizenship status, ancestry, military or veteran status, sexual orientation, gender, gender identity or expression, marital and civil partnership/union status, genetic predisposition or carrier status, or any other characteristic protected by federal, state or local law.
