Investment Advisory Firm

Counsel, Legal and Compliance, Connecticut

Counsel, Legal and Compliance (Connecticut): Our client, an investment advisory firm with north of $4b in AUM is looking to bring on an attorney to join their growing team. The candidate of choice will work closely with the General Counsel/Chief Compliance Officer.


Key Points:

  • Number 2 position on a team of 5 working hand in hand with the GC/CCO; ultimately role will become Head Counsel for the CLO side of the business reporting into the CEO 
  • Entrepreneurial environment, legal/compliance is expected to have a voice and be fully intertwined with the business
  • Firm is actively fundraising and growing in the CLO space
  • Strong work/life balance, compensationand benefits


  • Monitor the changing regulatory environment to ensure policies, procedures and ensure key stakeholders are kept current with applicable changes; draft and review investment management agreements relating to clients, financial institutions and investment advisers
  • Review corporate governance related documents and analyze corporate governance related matters; create compliance policies and procedures and conduct compliance testing of the effectiveness of the firm’s policies and procedures
  • Assist on various transactional matters and fundraising efforts      
  • Maintain and provide support in the offering of any new investment vehicles or products while assisting in launching new business initiatives across the firm
  • Review and coordinate various regulatory filings and transactions related to registered investment funds (Form ADV, proxy statements, annual reports, Form PF); assist various groups such as investment, finance, operations and investor relations teams regarding all legal and compliance matters


  • 5-7 years of relevant experience as a lawyer working in a major law firm or in-house within the legal department of an investment advisor; JD and bar admissions is required
  • Ability to work independently as well as be an effective team member in a fast-paced and challenging environment
  • Experience advising investment advisers and investment companies under the Investment Advisers Act of 1940 and Investment Company Act of 1940 (exposure to credit/loans/CLOs preferred but not required); strong organizational skills, attention to detail, maturity and judgment

Job Reference #1474

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