Application Guide

How to Apply for Compliance Officer

at Sixth Street

🏢 About Sixth Street

Sixth Street is a global investment firm with over $75 billion in assets under management, known for its flexible, long-term investment approach across private equity, credit, and real assets. The firm's commitment to sustainable growth and innovative use of technology in compliance sets it apart, offering a dynamic environment where compliance professionals can shape best practices.

About This Role

This Compliance Officer role is pivotal in overseeing the marketing material review process for a global investment firm, ensuring adherence to SEC, FINRA, and international regulations. You'll manage the firm's Global Capital Markets compliance program, including regulatory filings like ADV and Form PF, and lead initiatives to integrate technology and AI into compliance workflows.

💡 A Day in the Life

A typical day involves reviewing a high volume of marketing materials and due diligence questionnaires for compliance with SEC and FINRA rules, while also managing ongoing regulatory filings and updating policies. You'll collaborate with investment teams to ensure marketing content aligns with regulations, and lead projects to automate compliance workflows using AI tools.

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🎯 Who Sixth Street Is Looking For

  • You have 5+ years of compliance experience specifically at an asset manager or private fund adviser, with deep expertise in the SEC Marketing Rule and its application to private fund marketing.
  • You are detail-oriented and proactive, capable of handling high volumes of marketing materials and due diligence requests while maintaining regulatory accuracy.
  • You possess strong analytical skills and are comfortable drafting policies, leading compliance initiatives, and enhancing workflows using technology (e.g., automation, AI).
  • You hold a Bachelor's degree; an MBA or JD is preferred, and you have excellent organizational and communication skills to interact with investment teams and external parties.

📝 Tips for Applying to Sixth Street

1

Tailor your resume to highlight specific experience with SEC Marketing Rule compliance, including examples of marketing material reviews and regulatory filings (ADV, Form PF).

2

Quantify your achievements, such as the volume of materials reviewed or efficiency improvements from technology implementations.

3

Mention any experience with AI or compliance technology tools, as the role emphasizes enhancing workflows with tech.

4

Research Sixth Street's investment strategies and recent deals to show genuine interest in their business model and how compliance supports it.

5

In your cover letter, connect your experience to their global scope and mention your ability to manage compliance programs across multiple jurisdictions.

✉️ What to Emphasize in Your Cover Letter

["Emphasize your deep knowledge of the SEC Marketing Rule and how you've applied it in private fund marketing contexts.", 'Highlight your experience with regulatory filings (ADV, Form PF) and managing compliance programs at asset managers.', 'Demonstrate your proactive approach to compliance, such as leading initiatives or using technology to improve processes.', 'Showcase your ability to handle high volumes and collaborate with investment teams, as the role involves reviewing marketing materials and investor relations content.']

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🔍 Research Before Applying

To stand out, make sure you've researched:

  • → Review Sixth Street's investment strategies (e.g., private equity, credit, real assets) and recent transactions or funds to understand their business focus.
  • → Read about their approach to ESG and sustainable investing, as it may influence compliance policies.
  • → Look into their use of technology in operations, especially any public information about compliance tools or AI initiatives.
  • → Check news or press releases for any recent regulatory changes or enforcement actions relevant to private fund advisers.

💬 Prepare for These Interview Topics

Based on this role, you may be asked about:

1 How would you approach reviewing a marketing pitch deck for a new private fund under the SEC Marketing Rule?
2 Describe a time you identified a compliance gap and implemented a new policy or workflow to address it.
3 What experience do you have with Form PF and ADV filing preparation? Can you walk through the process?
4 How would you leverage technology or AI to streamline the marketing material review process at a firm like Sixth Street?
5 Given Sixth Street's global presence, how would you ensure compliance with regulations across different jurisdictions?
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⚠️ Common Mistakes to Avoid

  • Don't submit a generic cover letter; ensure it specifically addresses the SEC Marketing Rule and private fund experience.
  • Avoid exaggerating your experience with technology or AI if you don't have concrete examples; instead, show willingness to learn.
  • Don't neglect to mention your familiarity with regulatory filings like ADV and Form PF, as these are core responsibilities.

📅 Application Timeline

This position is open until filled. However, we recommend applying as soon as possible as roles at mission-driven organizations tend to fill quickly.

Typical hiring timeline:

1

Application Review

1-2 weeks

2

Initial Screening

Phone call or written assessment

3

Interviews

1-2 rounds, usually virtual

✓

Offer

Congratulations!

Ready to Apply?

Good luck with your application to Sixth Street!

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