Our client, a highly regarded private investment fund, is seeking to add a key professional to be the first fully dedicated legal and compliance team member. This is an exceptional opportunity to join a small, entrepreneurial organization where legal and compliance is viewed as strategic business partner to the business. As the first fully dedicated hire, this is an ideal opportunity for someone who is intellectually curious, enjoys taking ownership, and wants to play a meaningful role in building a world-class program for a growing and collegial private equity firm.
Key Points
- Exceptional management and culture throughout the firm; as part of a lean team, the founder emphasizes community, excellence, professional development, transparency and collaboration
- Opportunity to create a program from the ground up allowing your ‘fingerprints’ on the program
- Fund is at an exciting stage of growth and this role is intended to grow into a C-level role over time
- Success in this role will come from someone who enjoys creating structure, building scalable legal and compliance processes, and serving as a trusted business partner as the firm continues to grow
Responsibilities
- Build, manage, and continuously improve the firm’s compliance program across all regulatory matters
- Develop, enhance, and document compliance policies, procedures, and internal controls
- Assist with fund formation activities, regulatory filings, governance matters, and ongoing compliance initiatives
- Lead preparation for regulatory examinations, audits, and ongoing compliance monitoring
- Draft, review, and negotiate a broad range of legal agreements and internal documentation
- Collaborate closely with investment professionals and business leadership on day-to-day legal and compliance matters
- Prepare legal memoranda, committee materials, compliance documentation, and regulatory analyses
- Manage relationships with outside counsel while identifying opportunities to bring additional legal work in-house
- Help build and scale the firm’s legal and compliance infrastructure as the organization grows.
Qualifications
- Juris Doctor (JD) required
- 8-12 years of experience within asset management, private equity, or alternative investments with an emphasis on regulatory compliance work
- Strong knowledge of investment adviser regulations, fund formation, and compliance frameworks
- Prior law firm experience desired but not required
- Experience serving as a Deputy CCO, Senior compliance counsel, or similar legal/compliance role
- Ability to work independently while operating effectively within a lean, collaborative team
- Outstanding analytical ability, sound judgment, and exceptional attention to detail
- Demonstrated ability to take initiative, identify opportunities for improvement, and independently drive legal and compliance initiatives from concept through implementation
- Excellent drafting, communication, and relationship management skills
- Entrepreneurial mindset with a genuine interest in helping build and scale a platform
- Highly motivated, intellectually curious, and comfortable wearing multiple hats in a fast-paced environment
Compensation: 250K base; up to $500K all-in cash + incentives