Associate General Counsel and Compliance Officer

Menlo Park, CA

Job Reference #1825

Our client, a prestigious investment management firm with more than $20b AUM, is seeking a hardworking and motivated attorney to join their Legal and Compliance team as Associate General Counsel & Compliance Officer. This position will report to the General Counsel and Chief Compliance Officer.

Key Points

  • This is the #2 attorney for a growing 20b+ asset manager
  • Firm has been around for over 15 years and has an incredibly sticky investor base
  • The company offers a strong quality of life (normally 9-5:30pm), with limited nights and weekends  
  • Firm has a flat structure, offering every employee the opportunity to have a voice
  • Although it’s a few years out, this person will have the opportunity to take over as GC/CCO
  • Work from home policy: 3 days in the office and 2 days from home

Responsibilities

  • Serve as legal interface between the firm and outside counsel working on the investment side transactional legal process
  • Advise on all aspects of the fund formation process; Collaborate with outside counsel in order to advise the investment team
  • Review and negotiate side letters, LP agreements, NDAs, placement agreements and other contracts  
  • Provide counsel on direct transactions and co-investments
  • Interact and work closely with the investment and operations team  
  • Assist with regulatory filings, review marketing materials and ensure compliance
  • Review and update the firm’s compliance program and oversee employee compliance training
  • Interact with other teams in the firm regarding all aspects of the funds
  • Advise team members on other topics as needed

Qualifications

  • JD required and at least 7 years of relevant legal experience
  • Strong knowledge and experience with the fund formation process
  • Experience at an SEC rules and regulations
  • Ability and willingness to communicate and work as part of a diverse team
  • Strong, proactive, hands-on work ethic and ability to work in a demanding environment

Compensation: up to $600k all in