Opportunities

 

Asset Management and Advisory Firm

Associate General Counsel, New York, NY

Associate General Counsel (New York, NY): Our client a prestigious asset management and advisory firm is looking to bring on a strong professional to support the Deputy General Counsel and Chief Compliance officer with all regulatory matters in all aspects of the business.  The Associate General Counsel will have a diverse practice and will become involved with all legal matters affecting the Firm, including investment funds matters, investment banking matters, employment matters, tax matters, matters involving the Firm’s holding company and its investors, litigation matters and other matters 

 

Responsibilities:

  • Provide support to upper management with all compliance matters such as: updating the Form ADV, regulatory registrations with the UK FCA and SEBL, and review/finalize marketing materials; work with internal and external personnel to ensure compliance with side letters and fund agreements
  • Point person for questions regarding: AML/KYC/CIP, FCPA compliance and gifts and entertainment, cybersecurity, material non-public information, local, state, federal and foreign marketing restrictions; provide support to the legal department with investment fund, employment, holding company, tax and litigation matters 
  • Primary participant in responding to all regulatory examinations among other inquiries; work with compliance, fund accounting and investor relations teams to effectively respond to investor due diligence requests
  • Provide support as needed on all matters for which the in-house legal team is responsible 

Qualifications:

  • 4+ years of regulatory compliance experience advising registered investment advisors or registered broker-dealers in private practice or a highly regarded compliance consultant
  • Significant Advisors Act experience is strongly preferred; broker-dealer experience is valuable but not a requirement 
  • Exposure to hedge fund compliance is also a plus; poised and comfortable interacting with all levels of management both internally and externally 

Job Reference #1312

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