Hedge Fund

Senior Legal and Compliance Professional, Connecticut

Senior Legal and Compliance Professional (Connecticut): Our client, a successful hedge fund with over $1B in AUM, is looking to bring on an experienced legal and compliance professional to join their growing team. In time, this new hire will have the ability to become the firm’s fully dedicated compliance, regulatory and legal expert, with potential to move into the CCO seat (if applicable).


Key Points:

  • Firm is stable and growing
  • Company culture is very flexible – the two principals have been described as “really nice people who are considerate of individuals not just as employees but as humans”
  • Although smallin size, the firm is big on promoting from within and valuing the work of their employees


  • Maintain, develop, and implement compliance and regulatory policy and procedures; manage Investment Advisers Act compliance and run the Rule 206(4)-7 annual review process 
  • Prepare and submit required federal, state and foreign regulatory filings (Form ADV, Form PF, Section 13(G/D, F, H) FATCA/CRS); manage the firm’s forensic testing program and other procedures such as MNPI and insider trading risks 
  • Spearhead all regulatory matters related to investment strategy, the investor base, and structuring of investment vehicles (AML/KYC requirements, FINRA rules, privacy regulations, international regulations); oversee code of ethics while processing pre-clearance requests and reviewing employee reporting
  • Assist with a variety of legal document review, commentary, negotiation, and ongoing monitoring for the following: vendor contracts, non-disclosure agreements, investment vehicle structuring, client legal agreements, and private transaction deal documents; prepare compliance documentation and keep organized books and records 


  • 8+ years of relevant experience from a registered Investment Advisers in the US Equity Long Short Hedge Fund space, or in a compliance consulting capacity; Bachelors degree is required, J.D. preferred
  • Working knowledge of all current federal, state, and foreign regulatory environments affecting that space: The Advisers Act, SEC guidance and focus areas, The Securities Act (e.g. Reg D, Rule 144), FATCA/CRS, AIFMD, GDPR, niche regulatory areas 
  • Experience reviewing and negotiating legal documents; must have a deep understanding of material nonpublic information and associated risks
  • Familiarity with various compliance tools such as ComplySci, Smarsh, and Google Vault is a plus; exceptional verbal and written communicationskills

Job Reference #1576

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