Opportunities

 

Hedge Fund

General Counsel & Chief Compliance Officer, Palm Beach, FL

General Counsel & Chief Compliance Officer (Palm Beach, FL): Our client, a growing hedge fund, is looking to for an experienced legal and compliance professional to join and lead their legal and compliance team. 


Key Points: 

  • Person will be the senior most legal and compliance professional  
  • Exposure to all areas of the business (deal flow, investment ideas, fund formation, employment work, real estate and regulatory) 
  • Opportunity for someone still young in their career to take a step up 
  • Firm is doing very well with a stable investor base 

 Responsibilities:

  • Provide support for transactional legal needs for the organization, the family offices, and its funds; manage compliance consultant and outside counsel on all legal matters 
  • Manage records retention policy and corporate code of conduct; oversee company policies and procedures for mitigating general corporate risk (e-mails, security, workplace safety, IP, personnel)
  • Prepare and file the firm’s Form ADV while assisting with the preparation/review of other regulatory filings; prepare and administer ongoing compliance training for all employees
  • Review IR/marketing documents such as: pitch books, due diligence questionnaires, RFPs, strategy fact sheets, market commentary – ensuring accuracy and compliance with applicable rules and regulations; maintain compliance policies and procedures 
  • Spearhead the creation of new entities and organizational documents while handling the negotiation and review of joint venture/revenue share agreements; update key fund organizational and offering documents, structure and negotiate counterparty agreements as well as overseeing corporate, fund governance and associated policies adherence 
  • Review and negotiate consultant, vendor and employee contracts/agreements; manage leasing matters (new leases and extensions, and property management issues)
  • Provide counsel related to family foundations and board/advisory activities; advise on all matters surrounding insurance, tax, estate planning, real estate, and other personal investment/asset management materials

Qualifications:

  • A bachelor’s degree and JD are required, 5+ years of relevant work experience preferably with an SEC-registered investment advisor; prior law firm experience preferred but not required
  • Individual will need to be comfortable handling a full suite of compliance responsibilities; understanding of Investment Advisors Act of 1940 and the Investment Company Act of 1940, FINRA, ERISA, CFTC or other US regulatory requirements
  • Ability to manage several projects and appropriately deal with individuals at all organizational levels in various roles; self-motivated individual with demonstrated leadership skills including the balance of being assertive yet approachable is necessary 

Job Reference #1591

facebook twitter linkedin

Designed by Tradical360, an SEO Company in New York, NY