Global Investment Advisory Firm

Legal & Compliance , New York, NY

Legal and Compliance Professional – Ability to become CCO (New York, NY): Our client, an investment advisory firm with offices in New York, Asia, and Europe, has a newly created senior level opening within their legal and compliance team.  The position is based in New York and will include regular interactions with global colleagues and clients.  This is a phenomenal opportunity for an individual with a strong compliance background to join a team where s/he can take over the CCO title in time.  Currently the General Counsel holds the CCO title and has two other members working in legal and compliance so this individual will work in a #2 capacity within a lean team.   Specifically, the new hire will be responsible for: preparing compliance filings; reviewing marketing materials for regulatory compliance; providing general compliance support; drafting and negotiating NDAs and other legal agreements; and assisting with ad-hoc projects.   This position reports directly into the Global General Counsel/Chief Compliance Officer.  The ideal candidate has 5+ years of compliance experience within an asset manager and leadership skills.  A JD is not necessary, but a plus.  This person also needs to have a strong academic record, positive attitude, be a team player, have a strong work ethic and be good at multitasking. 

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