Principal, Regulatory Compliance, Global Capital Markets
Carlyle Investment Management, LLC

New York, New York

Position Summary

The Carlyle Global Capital Markets team works with the Carlyle Private Equity and Global Credit deal teams to provide advisory, structuring, underwriting, and distribution services on publicly syndicated and privately placed loan and equity financings for existing portfolio businesses and new acquisitions. The COO position will be primarily responsible for supervising members of the Capital Markets team as they engage in investment banking and securities-related activities, such as underwriting or privately placing securities, and will, working closely with Carlyle legal and compliance, ensure overall compliance with FINRA and SEC regulations and responsibilities.

Other primary responsibilities will include managing the internal approval process for all Capital Markets activity and fees, including leading committee discussions and keeping committee members apprised of upcoming Capital Markets activity on an ad-hoc basis. In addition, the COO will collaborate with key internal constituents (particularly legal and compliance, accounting, and fund management) and external resources (external FinOp, regulatory counsel) to ensure all internal processes are being appropriately followed.

Key Duties/Responsibilities

Oversight of Capital Markets (including Broker Dealer) Activity:

  • The individual will supervise members of the Capital Markets team when engaging in investment banking and securities-related activities, such as underwriting or privately placing securities, and will ensure overall compliance with FINRA and SEC regulations and responsibilities
  • Responsible for managing review and approval of, and executing, all documentation on behalf of TCG Capital Markets and TCG Senior Funding for Capital Markets transactions (e.g., purchase agreements, underwriting agreements, commitment letters, fee letters, etc.) and responsible for reviewing marketing materials in connection with public debt or equity offerings in which Capital Markets is an underwriter (e.g., offering memorandum, registration statement/prospectus)
  • Manage audits (internal and external) or other regulatory inquiries related to CGCM activities, including serving as primary point of contact with internal partners (accounting, legal and compliance)
  • Provide ongoing advice and guidance to Capital Markets team to ensure adherence to Carlyle policies and standards; responsible for monitoring regulatory developments for changes in regulation and interpretive guidance
  • Monitor fee pipeline and maintain rate cards, including tracking of fee comp data points
Management of Internal Approval Process:
  • Keep key internal constituents (accounting, fund management/fund formation, legal and compliance) apprised of upcoming Capital Markets activity and fees
  • Oversee preparation of committee approval memo and coordinate with legal & compliance as needed ahead of seeking committee approval
  • Manage the committee approval process, including leading committee discussions and keeping committee members apprised of upcoming Capital Markets activity on an ad-hoc basis
  • Oversee appropriate file retention and preparation of closing memos, including coordination of legal and compliance sign off
Collaborate with Internal Partners (Accounting, Fund Management, Legal & Compliance) and Liaise with External FinOp and Regulatory Counsel:
  • The individual will be a point of contact for internal colleagues in Accounting, Fund Management, and Legal & Compliance to ensure all appropriate internal parties are aware of Capital Markets fee-related activities; responsibilities with internal parties outlined below
    • Accounting: Discuss historical and upcoming Capital Markets activity and fee-related accounting, participate in ad-hoc discussions with accounting / FP&A regarding capital requirements for day-to-day operations as well as projecting any larger near term capital needs, and keep accounting apprised of current and upcoming balance sheet commitments
    • Fund Management / Fund Formation: Coordinate with Fund Management and Fund Formation regarding fee protocols and disclosure
    • Legal & Compliance: Manage completion of conflicts checks; work with compliance and external FinOp on quarterly broker dealer filings
  • In addition, the COO will interface with External FinOp and outside regulatory counsel, as further described below
    • External FinOp: Coordinate with External FinOp to ensure compliance with regulatory capital requirements
    • Outside Regulatory Counsel: Engage with outside counsel as needed in order to address one-off matters related to regulatory compliance; in conjunction with legal and compliance, coordinate periodic review and updating of Capital Markets procedures and policies


  • Relevant experience in capital markets and financial industry; supervisory/management experience helpful
  • Principal-level (Series 24) FINRA license; other licenses may be required in the future as needed
  • Although the COO position is not a legal role, relevant legal/compliance experience (law firm or in-house) would be preferred
  • Excellent written and verbal communication skills
  • Ability to work under pressure and make decisions in a fast-paced environments
  • Excellent relationship, facilitation and presentation skills, and ability to interact with all levels of Carlyle management
  • Self-sufficient, proactive, resourceful and ability to multi-task and meet deadlines
  • Ability to identify issues and trends, evaluate alternatives and recommend comprehensive and innovative solutions
  • Project management skills

Company Information

The Carlyle Group (NASDAQ: CG) is a global investment firm with $325 billion of assets under management and more than half of the AUM managed by women, across 498 investment vehicles as of March 31, 2022. Founded in 1987 in Washington, DC, Carlyle has grown into one of the world's largest and most successful investment firms, with nearly 1,900 professionals operating in 26 offices in North America, South America, Europe, the Middle East, Asia and Australia. Carlyle places an emphasis on development, retention and inclusion as supported by our internal processes and seven Employee Resource Groups (ERGs). Carlyle's purpose is to invest wisely and create value on behalf of its investors, which range from public and private pension funds to wealthy individuals and families to sovereign wealth funds, unions and corporations. Carlyle invests across three segments - Global Private Equity, Global Credit and Investment Solutions - and has expertise in various industries, including: aerospace, defense & government services, consumer & retail, energy, financial services, healthcare, industrial, real estate, technology & business services, telecommunications & media and transportation. At Carlyle, we know that diverse teams perform better, so we seek to create a community where we continually exchange insights, embrace different perspectives and leverage diversity as a competitive advantage. That is why we are committed to growing and cultivating teams that include people with a variety of perspectives, people who provide unique lenses through which to view potential deals, support and run our business. As our Chief Executive Officer, Kewsong Lee, stated, "We seek to attract individuals from a broad set of backgrounds and experiences because we know that diverse teams ask better questions and inclusive teams find better answers. Our diverse and inclusive community makes us better partners and ultimately, helps us to build better."

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