Investment Advisor

Chief Compliance Officer & Associate General Counsel, New York, NY

Chief Compliance Officer & Associate General Counsel (New York, NY): Our client, a well renowned investment advisor is eager to bring on an experienced and legal and compliance professional to oversee the firm’s compliance program in its entirety. This person will work closely with the Managing Partners and report to the General Counsel.


Key Points:

  • Firm is actively fundraising and growing prompting this new hire
  • Ability to step into a newly created CCO role and own the entire compliance program
  • Firm hires very bright individuals who can contribute new ideas and have a voice


  • Oversee the registration and ongoing maintenance of registration as it relates to the Investment Advisers Act; manage reporting and compliance review of investment allocations, expenses, valuation political contributions, outside business activities, gifts and entertainment, personal trading and conflicts of interest generally
  • Design and conduct periodic reviews and testing of compliance procedures with internal and external resources; supervise information technology and cybersecurity processes while managing outside vendors
  • Review offering documents, marketing materials and compliance with Investment Advisers Act and SEC Guidance; review legal questions and provide counsel on matters related to compliance with the Investment Advisers Act
  • Manage regulatory examinations and mock SEC examinations; educate employees on policies and procedures and enforcement of compliance policies


  • At least 5 years of working experience at a national law firm OR 2 years of working experience at a national law firm and at least 4 years of experience as in-house counsel for a registered investment adviser; admitted to the practice law in the State of New York and be in good standing with the State Bar of New York
  • Knowledge of the Investment Advisers Act and experience with private equity and hedge funds; prior experience assisting registered investment advisers with SEC examinations or mock examinations is not required but is a plus
  • May be required to travel periodically to other office locations; excellent communication skills (verbal and written) as this a highly visible role managing and interacting with various members of the firm

Job Reference #1448

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