Key Points:
- Exceptional management and culture throughout the firm; as part of a lean team, the founder emphasizes community, excellence, professional development, transparency and collaboration
- Opportunity to create a program from the ground up allowing your ‘fingerprints’ on the program
- Fund is at an exciting stage of growth and this role has the capacity to grow into a Chief Compliance Officer and General Counsel leadership role over time
Responsibilities:
- Oversee the firm’s compliance program across all regulatory matters
- Develop, enhance, and document compliance policies, procedures, and internal controls
- Assist with fund formation activities, regulatory filings, governance matters, and ongoing compliance initiatives
- Support regulatory examinations, audits, and ongoing compliance monitoring
- Draft, review, and negotiate a broad range of legal agreements and internal documentation
- Collaborate closely with investment professionals and business leadership on day-to-day legal and compliance matters
- Prepare legal memoranda, committee materials, compliance documentation, and regulatory analyses
- Manage relationships with outside counsel while identifying opportunities to bring additional legal work in-house
- Contribute to the continued development and scaling of the firm’s legal and compliance infrastructure as the organization grows
Qualifications:
- Juris Doctor (JD) required
- 8-12 years of experience within asset management, private equity, or alternative investments with an emphasis on regulatory compliance work
- Strong knowledge of investment adviser regulations, fund formation, and compliance frameworks
- Prior law firm experience desired but not required
- Experience serving as a Deputy CCO, Senior compliance counsel, or similar legal/compliance role
- Ability to work independently while operating effectively within a lean, collaborative team
- Outstanding analytical ability, sound judgment, and exceptional attention to detail
- Ownership mindset – the team needs someone who takes initiative, asks pertinent questions, and is proactive in nature
- Excellent drafting, communication, and relationship management skills
- Entrepreneurial mindset with a genuine interest in helping build and scale a platform
- Highly motivated, intellectually curious, and comfortable wearing multiple hats in a fast-paced environment
Compensation: 250K base; up to $550K all-in cash + incentives