Opportunities

 

Investment Management Firm

General Counsel & Chief Compliance Officer, Essex County, MA

General Counsel & Chief Compliance Officer (Essex County, MA): Our client, a successful global investment management firm in the Greater Boston Area, is looking to bring on an experienced and well-rounded compliance and legal professional to join the team in a senior capacity. As GC & CCO, this new hire will provide guidance to all legal and compliance matters, providing legal counsel, overseeing policies and procedures, and driving regulatory matters for the firm’s investment advisor and broker-dealer. The candidate of choice will work closely with the COO, investment, and finance teams, and will report to the firm’s Founder. 

 

Key Points: 

  • Ability to sit in a #1 seat within legal and compliance, reporting into the Founder of the firm
  • Position will have a heavier tilt towards legal work versus compliance 
  • Highly visible role running the firm’s compliance program, joining a lean team of bright professionals, and being critical in key decision making 
  • This position will be considered a key addition to the Firm’s leadership team
  • Organization boasts a long standing and impressive track record 

Responsibilities:

  • Cover day‐to‐day legal issues and special projects (joint venture/acquisition matters, contract review, and drafting agreements)
  • Strategically lead the direction of the firm, ensuring its compliance with SEC, FINRA, state rules and regulations, and trends
  • Oversee administration of the Compliance Manuals, Codes of Ethics, compliance testing, monitoring, and reporting; implement changes to the compliance program in response to changes in the business or new regulatory requirements
  • Oversee all compliance related matters as it relates to the investment advisors and the affiliated broker dealer; manage the firm’s compliance platform to ensure compliance with policies and procedures, coordinating follow‐up action as needed
  • Provide counsel to commercial agreements, HR‐related matters, and general management company matters; coordinate with outside service providers such as compliance consultants and legal counsel

Qualifications:

  • JD required with strong academic performance (Member of the MA or NY state bar)
  • 8+ years of relevant experience ideally from another investment firm, or in the investment management group at a law firm required
  • General knowledge of regulatory requirements of broker‐dealers and FINRA Rules a plus; experience with general corporate and investment adviser matters, and have a broad-based knowledge of the Investment Advisers Act of 1940
  • Deadline oriented, with the ability to work independently and be proactive in taking on new responsibilities, detail oriented and highly organized 
  • Excellent communication and analytical skills; sound judgement on commercial/business matters
  • Comfortable working in fast-paced environment with a willingness to dive in to add support where required; team player, yet comfortable serving as firm’s sole legal/compliance lead

Job Reference #1662

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