Opportunities

 

Hedge Fund

Chief Compliance Officer & Counsel, New York, NY

Chief Compliance Officer & Counsel (New York, NY): Our client, a successful recent hedge fund launch with over $1B in total AUM, is looking to hire their first fully dedicated legal and compliance professional.  This is a phenomenal opportunity to join a team that is building a world class institution in a newly created position.  The CCO & Counsel will be given autonomy, creativity, and a voice within the organization to help build out a compliance platform and make meaningful contributions to the business as a whole. 

 

Key Points:

  • Individual will be joining a firm in its infancy allowing him/her to make their mark within the organization 
  • Opportunity to join a thriving fund in a senior C-level capacity, covering all aspects of the legal and compliance program
  • The firm is growing and prides itself on its great entrepreneurial environment, collegial team and leadership

Responsibilities:

  • Create and conduct ongoing assessment of the firm’s compliance program; develop and implement the firm’s compliance policies and procedures and compliance monitoring program
  • Prepare regulatory filings, oversee the Code of Ethics, perform compliance testing, and review marketing materials 
  • Analyze and address potential MNPI/insider trading issues; chaperone expert network calls
  • Monitor ongoing legal and regulatory developments; participate in the broad sweep of compliance surveillance and monitoring functions, overseeing all areas of the business
  • Create vendor management policies and procedures, keeping abreast with changes in the evolving regulatory developments; stay up to date with rulemaking and guidance, specifically with respect to alternative data and investment research providers
  • Spearhead efforts of assessing a range of investment research and alternative data providers as it relates to distinct policies and procedures; manage legal and compliance workflow as it relates to alternative data and investment research providers, ensuring timely responses to the business’s requests
  • Fund formation and legal structuring, including revisions to, and drafting of PPMs, LPAs, subscription agreements and reviewing/negotiating NDAs and other legal contracts

Qualifications:

  • 10+ years of relevant investment advisory compliance experience; JD is required
  • Experience working within another private fund or a long/short fund is strongly desired
  • Individual must have been through an SEC exam
  • Specific experience in working with MNPI issues, reviewing alternative data vendors, and chaperoning expert network calls required 
  • Deep expertise and excellent judgement across compliance areas; thorough understanding of both the investment management industry and U.S. and international securities laws applicable to private funds
  • Must be a highly organized and proactive, able to work independently on several projects while maintaining an appropriate level of transparency with management

 Job Reference #1677

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