Our client, a multi-strategy investment firm is seeking a senior compliance and legal professional to oversee its compliance program in a standalone position. This is a hands-on role working closely with senior leadership and external counsel.
Key Points:
- Rare opportunity to step into a high-impact, front-facing role reporting directly to senior leadership, with meaningful influence across investment, trading, and firmwide decision-making
- Join a highly stable, 20+ year platform with exceptional retention, strong performance, and a proven track record of rewarding top performers
- True ownership of a well-established, institutional-quality compliance program with the autonomy to shape and evolve it over time, rather than building from scratch
- Unique blend of compliance leadership and legal exposure, offering involvement in transactional and investment-related matters without requiring full deal execution responsibility
- Operate as a trusted advisor within a lean, collaborative environment where your voice carries weight and cross-functional engagement is constant
- Supported by top-tier external counsel and consultants, allowing focus on high-value work while maintaining a manageable infrastructure
Responsibilities:
- Lead and manage the firm’s compliance program across funds and strategies
- Maintain policies, procedures, and key compliance documentation
- Oversee regulatory filings and reporting
- Manage core compliance functions (e.g., trade surveillance, communications monitoring, AML/KYC, best execution)
- Conduct testing, audits, and ongoing program enhancements
- Monitor regulatory developments and implement updates
- Support legal matters including fund formation, offering materials, and agreements
- Assist with transactional work and coordinate with external counsel
- Review and negotiate various agreements
- Partner with internal teams and deliver compliance training
- Support regulatory inquiries and governance matters
Qualifications:
- J.D. required with 10+ years of compliance experience within a hedge fund
- Ability to operate independently and build/manage a compliance program
- Strong communication skills and sound judgment
- Multi-asset class experience
- Familiarity with global regulations
Compensation Expectations: $200-350K base + bonus (no additional equity or carry awards)