Main Street Capital
Job Title: Compliance Analyst
Main Street Capital Corporation (NYSE:MAIN)
Main Street (www.mainstcapital.com) is a publicly traded investment firm that primarily provides long-term debt and equity capital to lower middle market companies and debt capital to middle market companies. Main Street's portfolio investments are typically made to support management buyouts, recapitalizations, growth financings, refinancings and acquisitions of companies that operate in diverse industry sectors. Main Street seeks to partner with entrepreneurs, business owners and management teams and generally provides "one stop" financing alternatives within its lower middle market portfolio. Main Street's lower middle market companies generally have annual revenues between $10 million and $150 million. Main Street Capital is a publicly traded company on the New York Stock Exchange (NYSE: MAIN) with over
$8.5+ billion of capital
under management. Our Corporate Office is located in the Uptown/ Galleria area in Houston, Texas. (1300 Post Oak Blvd, 8th Floor, Houston, TX 77056)
Main Street Capital was ranked 80 in 2022, 52 in 2023, and 34 in 2024 as a Top 100 Place to Work in Houston within the small-company ranking category by the Houston Chronicle.
Additionally,Main Street Capital was listed on the CHRON100 top performing companies in Houston, TX.
Trust, friendliness, conscientiousness, and fun are embedded in Main Street Capital's cultural DNA. We sponsor regular activities for employees, which help create unbreakable bonds and workplace happiness. We are more than an office. We work to create meaningful experiences for our employees where employees are allowed to be themselves and connect with their peers. This promotes collaboration, drives performance and profits follow. Culture is the secret ingredient to Main Street Capital's 20 years of success as a publicly traded principal investment firm. We are a strong and healthy workplace and believe in rewarding top talent consistently.
Summary
We are looking for a Compliance Analyst to join our legal and compliance team to support the day-to-day operations of the compliance program for our BDCs, private funds, and SEC-registered RIA. We are a publicly traded investment company looking for someone that can bring their attention to detail, strong work ethic and organizational skills to our team and organization. We are searching for a highly motivated, self-starter with a positive attitude who will focus on getting the job done in an efficient and effective manner in a deadline sensitive environment and will continue to promote teamwork within our organization.
This position has the potential for professional growth and advancement in the intermediate and long-term future. This role offers the opportunity to further develop experience and expertise in legal and compliance functions, including public company reporting, investment portfolio support and regulatory compliance.
Role and Responsibilities Assist in the implementation, monitoring, and testing of the firm's compliance program in accordance with Rule 206(4)-7 of the Advisers Act and Rule 38a-01 of the Investment Company Act. Maintain monthly compliance calendar and ensuring timely completion of routine compliance matters. Conduct targeted ad hoc and periodic testing of company policies and procedures in accordance with the Investment Company Act of 1940 and the Investment Advisers Act of 1940. Monitor code of ethics compliance, including personal trading, political contributions, outside business activities, and restricted list activities, using our third-party compliance system, MyComplianceOffice (MCO). Assist with oversight of investments to ensure compliance with company policies and procedures. Prepare supporting analysis regarding compliance issues/incidents. Assist with monitoring applicable U.S. regulations and related updates to policies and procedures.. Assist in the preparation of regulatory filings, including Form ADV and Form PF. Assist in the development of compliance training programs. Assist with quarterly and annual compliance testing and review. Attend webinars/seminars to enhance knowledge with respect to applicable U.S. regulations. Education and Qualification Requirements
Bachelor's degree required Industry/industry-related experience is preferred Strong interpersonal, oral and written communication skills including proven ability to interact with all levels of employees and business relationships Must be self-motivated with ability to multi-task and achieve deadlines Detail oriented and strong organizational skills Ability to define problems, collect data, investigate facts, and draw conclusions Must be flexible and able to work in a fast-paced, ever-changing environment with multiple ongoing priorities and projects. This position is 100% in-office Monday - Friday 8:00am - 5:00pm. (Not remote)
Why join Main Street's growing team?
Unique and differentiated lower middle market investment strategy Great compensation and benefits Supportive and dynamic team-based work environment Company Benefits
Medical, dental, and vision coverage effective on hire date. Dental and Vision coverage 100% paid for employee-only coverage. Competitive salary package includes bonus and Main Street Capital restricted stocks. 100% employer paid life insurance, short term disability and long term disability. Start with 15 days of paid time off. 12 company holidays. 401(k) employer match starts 1st of the month following hire date. No vesting schedule. Professional licenses and continued education training paid by Main Street Capital. Parking paid 100% by Main Street Capital. On-site Gym. Scholarship Program for employee's dependents. Volunteer time off. Paid Parental Leave. HelpR Back-Up Caregiving Benefit and much more.
Please visit https://www.mainstcapital.com/ to learn more about our company.
Main Street Capital Corporation (NYSE:MAIN)
Main Street (www.mainstcapital.com) is a publicly traded investment firm that primarily provides long-term debt and equity capital to lower middle market companies and debt capital to middle market companies. Main Street's portfolio investments are typically made to support management buyouts, recapitalizations, growth financings, refinancings and acquisitions of companies that operate in diverse industry sectors. Main Street seeks to partner with entrepreneurs, business owners and management teams and generally provides "one stop" financing alternatives within its lower middle market portfolio. Main Street's lower middle market companies generally have annual revenues between $10 million and $150 million. Main Street Capital is a publicly traded company on the New York Stock Exchange (NYSE: MAIN) with over
$8.5+ billion of capital
under management. Our Corporate Office is located in the Uptown/ Galleria area in Houston, Texas. (1300 Post Oak Blvd, 8th Floor, Houston, TX 77056)
Main Street Capital was ranked 80 in 2022, 52 in 2023, and 34 in 2024 as a Top 100 Place to Work in Houston within the small-company ranking category by the Houston Chronicle.
Additionally,Main Street Capital was listed on the CHRON100 top performing companies in Houston, TX.
Trust, friendliness, conscientiousness, and fun are embedded in Main Street Capital's cultural DNA. We sponsor regular activities for employees, which help create unbreakable bonds and workplace happiness. We are more than an office. We work to create meaningful experiences for our employees where employees are allowed to be themselves and connect with their peers. This promotes collaboration, drives performance and profits follow. Culture is the secret ingredient to Main Street Capital's 20 years of success as a publicly traded principal investment firm. We are a strong and healthy workplace and believe in rewarding top talent consistently.
Summary
We are looking for a Compliance Analyst to join our legal and compliance team to support the day-to-day operations of the compliance program for our BDCs, private funds, and SEC-registered RIA. We are a publicly traded investment company looking for someone that can bring their attention to detail, strong work ethic and organizational skills to our team and organization. We are searching for a highly motivated, self-starter with a positive attitude who will focus on getting the job done in an efficient and effective manner in a deadline sensitive environment and will continue to promote teamwork within our organization.
This position has the potential for professional growth and advancement in the intermediate and long-term future. This role offers the opportunity to further develop experience and expertise in legal and compliance functions, including public company reporting, investment portfolio support and regulatory compliance.
Role and Responsibilities Assist in the implementation, monitoring, and testing of the firm's compliance program in accordance with Rule 206(4)-7 of the Advisers Act and Rule 38a-01 of the Investment Company Act. Maintain monthly compliance calendar and ensuring timely completion of routine compliance matters. Conduct targeted ad hoc and periodic testing of company policies and procedures in accordance with the Investment Company Act of 1940 and the Investment Advisers Act of 1940. Monitor code of ethics compliance, including personal trading, political contributions, outside business activities, and restricted list activities, using our third-party compliance system, MyComplianceOffice (MCO). Assist with oversight of investments to ensure compliance with company policies and procedures. Prepare supporting analysis regarding compliance issues/incidents. Assist with monitoring applicable U.S. regulations and related updates to policies and procedures.. Assist in the preparation of regulatory filings, including Form ADV and Form PF. Assist in the development of compliance training programs. Assist with quarterly and annual compliance testing and review. Attend webinars/seminars to enhance knowledge with respect to applicable U.S. regulations. Education and Qualification Requirements
Bachelor's degree required Industry/industry-related experience is preferred Strong interpersonal, oral and written communication skills including proven ability to interact with all levels of employees and business relationships Must be self-motivated with ability to multi-task and achieve deadlines Detail oriented and strong organizational skills Ability to define problems, collect data, investigate facts, and draw conclusions Must be flexible and able to work in a fast-paced, ever-changing environment with multiple ongoing priorities and projects. This position is 100% in-office Monday - Friday 8:00am - 5:00pm. (Not remote)
Why join Main Street's growing team?
Unique and differentiated lower middle market investment strategy Great compensation and benefits Supportive and dynamic team-based work environment Company Benefits
Medical, dental, and vision coverage effective on hire date. Dental and Vision coverage 100% paid for employee-only coverage. Competitive salary package includes bonus and Main Street Capital restricted stocks. 100% employer paid life insurance, short term disability and long term disability. Start with 15 days of paid time off. 12 company holidays. 401(k) employer match starts 1st of the month following hire date. No vesting schedule. Professional licenses and continued education training paid by Main Street Capital. Parking paid 100% by Main Street Capital. On-site Gym. Scholarship Program for employee's dependents. Volunteer time off. Paid Parental Leave. HelpR Back-Up Caregiving Benefit and much more.
Please visit https://www.mainstcapital.com/ to learn more about our company.