Manager, Legal and Compliance

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    "id": "166",
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    "location": {
      "city": "New York",
      "state": "New York"
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    "jobOpeningName": "Manager, Legal and Compliance",
    "departmentLabel": "Legal",
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    "location": {
      "city": "New York",
      "state": "New York",
      "postalCode": "10016",
      "addressCountry": "United States"
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    "datePosted": "2026-04-29",
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    "description": "<p><span style=\"font-weight: bold\"><span style=\"text-decoration: underline\">The Firm</span></span></p>\n<p>Founded in 1988, Prospect Capital is an alternative asset management firm with $7.3B+ of assets under management, including permanent capital. Prospect pursues multiple strategies in the US, including direct lending, private equity, real estate private equity and structured credit. Prospect has a long-term, value-oriented approach that employs fundamental bottoms-up research to identify investments that offer attractive risk and reward.</p>\n<p> </p>\n<p>With headquarters in New York City, the firm is comprised of 100+ experienced professionals who value entrepreneurship, intellectual rigor, hard work and continuous improvement.</p>\n<p> </p>\n<p><span style=\"font-weight: bold\"><span style=\"text-decoration: underline\">The Position</span></span></p>\n<p><br><br></p>\n<p>We are seeking a motivated and detail-oriented Vice President, Legal and Compliance to join our legal and compliance team. The ideal candidate is intellectually curious, highly organized, team-oriented and eager to grow.</p>\n<p> </p>\n<p><span style=\"font-weight: bold\">Corporate &amp; Securities Matters</span></p>\n<ul>\n<li>Provide support for required filings under securities laws, including Form 10-Ks, Form 10-Qs, 8-Ks, registration statements, prospectuses and proxy statements.</li>\n<li>Assist with NASDAQ and NYSE compliance activities, including reporting organizational changes and filings of annual and interim reports.</li>\n<li>Assist with preparation of materials for meetings of the Board of Directors and its committees, including drafting resolutions.</li>\n<li>Handle corporate governance matters, including research and maintenance of records relating to the Board of Directors.</li>\n<li>Draft, review, and file corporate and transactional documents.</li>\n<li>Support special corporate governance and capital markets projects as the need arises and other tasks, strategic projects, or duties as needed.</li>\n</ul>\n<p> </p>\n<p><span style=\"font-weight: bold\">Compliance Support</span></p>\n<ul>\n<li>Assist with the firm’s regulatory compliance program, including maintaining, updating and supervising the firm’s compliance policies and procedures and conducting employee training and annual reviews.</li>\n<li>Help manage Comply, the firm’s software for administering employee Code of Ethics obligation, including personal trading and gifts &amp; entertainment.</li>\n<li>Support regulatory filings, including Form ADVs and related regulatory reports.</li>\n<li>Support the firm’s marketing compliance program, including review of marketing materials.</li>\n<li>Assist with preparation for regulatory examinations and help coordinate responses to regulatory inquiries.</li>\n<li>Support special compliance projects as the need arises and other tasks, strategic projects, or duties as needed.</li>\n</ul>\n<p><br><br></p>\n<p><span style=\"font-weight: bold\">Desired Skills and Experience</span></p>\n<ul>\n<li>Bachelor’s degree from a leading college or university.</li>\n<li>5 or more years of experience in a corporate legal department, law firm, or compliance role, preferably within investment management or financial services.</li>\n<li>Exposure to or working knowledge of investment adviser, investment company or industry related compliance (e.g., Investment Advisers Act, Investment Company Act, Securities Exchange Act, and FINRA rules) is a plus.</li>\n<li>Experience or working knowledge of securities filings, corporate governance, entity management, and due diligence.</li>\n<li>Ownership mentality and strong organizational skills.</li>\n<li>Excellent analytical and communication skills.</li>\n<li>Ability to produce high-quality work in a deadline-driven environment.</li>\n</ul>\n<p> </p>\n<p>The anticipated base salary range for this position is $150,000 - $200,000 plus an annual discretionary performance-based bonus. Actual pay may be adjusted based on experience and performance.</p>\n<p> </p>\n<p>In addition to the base salary, the hired professional is eligible for comprehensive benefits including 100% employer-paid Life Insurance, and AD&amp;D. You'll also have access to pretax benefit accounts, including FSA, HSA, and Commuter accounts. Our perks go beyond the basics with a mentorship program, daily in-office paid breakfast and lunch, company-sponsored ski and sailing trips, and regular happy hours. Details of participation in these benefit plans will be provided if an employee receives an offer of employment.</p>",
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    "minimumExperience": "Mid-level",
    "jobOpeningShareUrl": "https://prospect.bamboohr.com/careers/166",
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