Compliance Analyst - Vista Credit Opportunities
Vista Equity Partners | Operations | Chicago, IL
This position works with the Firm’s Global Chief Compliance Officer (Global CCO) and other members of Compliance to assist in all activities related to registered investment adviser compliance and records management. Interactions will be necessary with virtually all accounting, operations, investment and investor relations staff at the Firm. This individual will proactively assist in identifying and containing compliance risk, foster a business-oriented compliance function, and help the organization embrace compliance. This role will be largely dedicated to supporting Vista Credit Opportunities (“VCO”), the credit platform of Vista Equity Partners, and is based in Chicago, IL.
Under the direction of the Director of Compliance, the Compliance Analyst will have responsibility for the following related to the Firm’s compliance program:
- Maintain oversight of the Firm’s information barriers and various Watch and Restricted Lists;
- Monitor and enforce the Firm's information barriers, wall crossings, and flow of material non-public information, as well as the pre-clearance of permitted communications between different business groups;
- Perform surveillance ofFirm and employee trading activity through various tools to detect potential breaches of the Firm’s Information Barriers Policy;
- Assist the Deputy Chief Compliance Officer and Counsel and/or Director of Compliance in performing regular email review and surveillance, as well as weekly, monthly, and annual testing to detect potential regulatory violations and ensure compliance with regulations and Firm policies;
- Perform anti-money laundering and anti-corruption due diligence reviews VCO fund investors, at on-boarding of new investors and on an on-going basis; and
- Assist in the drafting, updating, and revision of Firm policies and procedures.
- Design and update compliance training materials.Coordinate the delivery of training materials to new employees and work with personnel to deliver training through Vista’s learning management system.Track the completion of employee training and follow-up as needed.
- Work with the Director of Compliance to complete required regulatory filings, including Form PF and AIFMD filings.
- Work with the Director of Compliance on the Firm’s annual compliance review of VCO and other central compliance functions.
- Provide support to the Director of Compliance in responding to SEC and regulatory examinations and requests.
- Maintain exceptional customer service orientation at all times.
- Interpret Firm policies and ensure consistent application of Firm policies and procedures.
- Other regulatory and legal projects as required.
- Bachelor’s Degree or equivalent experience.
- One to three years of experience in registered investment adviser compliance or at a regulator or law firm, including a thorough understanding of the Investment Advisers Act of 1940 and certain aspects of the Investment Company Act.
- Experience in private equity, credit, and/or hedge fund environments is highly desirable, either in a law firm or industry.
- Demonstrated ability to work collaboratively, independently and in some cases, under time pressure.
- Ability to work in a fast-paced and dynamic environment with changing requirements.
- Strong organizational, analytical, written, and verbal communication skills. Excellent interpersonal skills and customer service/client service skills.
- Excellent time management, organization and prioritization skills.Ability to own projects from start to finish with minimal guidance with great attention to detail.
- Experience working with Excel, PowerPoint, and developing and maintaining various analysis and reporting tools.
About Vista Equity Partners
Vista Equity Partners was established in 2000 by Founder, Chairman & CEO Robert F. Smith to seize the unique opportunity presented by the enterprise software industry. Smith and Co-Founder & President, Brian Sheth, bucked traditional investment strategies of spreading risk across sectors and opted instead to have Vista focus exclusively on the enterprise software, data, and technology-enabled solutions sector. Today, Vista is a leading investment firm with over $31 billion in cumulative capital commitments, and along with its private equity arm, has a credit fund business with over $1B in AUM and a hedge fund investing in the TMT sector.
The Vista approach to creating value in its private equity business focuses on unlocking value that others cannot see. It partners with world-class management teams in portfolio companies aiming to grow and reach their full potential, and utilizes its dedicated team of operational experts, Vista Consulting Group (VCG), to generate lasting value.
About Vista Credit Opportunities
Vista Credit Opportunities (“VCO”) was established in 2013 as the credit platform of Vista Equity Partners (“Vista”), a U.S.-based private equity firm founded in 2000 and focused on transactions in enterprise software, data, and technology-enabled businesses. Vista brings a highly unique, systematic, and sophisticated approach to investing in a rapidly growing and critical segment of the economy. Across the platform, Vista has closed over 300 transactions representing $98 billion in transaction value and currently manages over $31 billion in cumulative capital commitments.
Built on a foundation of over 17 years of highly successful software investing and equipped with the resources, market leadership, and investment conviction of a Top Performing PE Firm Worldwide by HEC-Dow Jones, VCO believes a large and growing opportunity exists to invest in the rapidly growing and highly desirable software debt market. The VCO investment team of highly seasoned credit professionals leverages the strength of the Vista platform to capitalize on this market opportunity.
VCO invests in first-lien, second-lien, recurring revenue, unitranche, and mezzanine loans in both the new issuance and secondary loan trading markets. VCO seeks transaction opportunities in the middle market and broadly syndicated loan market supporting mergers and acquisitions as well as other critical capital needs of private equity firms. This investment strategy provides the most flexibility to leverage VCO’s expertise to invest where the best relative value exists within the software debt market. To date, VCO has deployed more than $2.4 billion across 114 investments and has partnered with over 40 private equity firms, establishing its position as a leading software debt investor with valued expertise.