Deputy General Counsel & Chief Compliance Officer

New York, NY

Job Reference #1805

Our client, a 4b global alternative investment firm, is looking for a Deputy General Counsel/CCO to help drive all aspects of the firms’ legal and compliance program.  This is a unique opportunity to join a young firm that is continuing to grow, in a leadership capacity.

Key Points

  • Firm has a stable institutional investor base where capital is locked for long periods of time 
  • This hire will be the lead on all legal and compliance matters  
  • Position reports directly to the Co-Founder and will work closely with all areas of the business 
  • True leadership position where this hire will have a seat at the table and help drive firm-wide decisions

Responsibilities

  • Manage all aspects of legal and compliance functions for SEC registered investment advisory firm 
  • Participate in investment committee process
  • Provide guidance to senior management and other professionals on a variety of complex legal and compliance matters
  • Collaborate in a business and legal capacity to analyze issues relating to all aspects of the organization
  • Advise on potential liability and risks and actively guard against legal risks impacting the firm and its reputation
  • Primarily responsible for preparation, implementation and interpretation of fund governing documents, for fund and investment level structuring, for managing fund closing processes and for negotiation and execution of limited partner subscription and side letter documentation
  • Develop and maintain firm-wide legal documentation standards to ensure consistent practices across all firm contracts and fund investments.
  • Responsible for all regulatory filings with the SEC and CFTC as well as all state filings
  • Develop and maintain internal controls and risk management processes and procedures
  • Actively involved in all operational aspects of firm management to promote culture and vision of senior management, including, all employment and human capital related matters, information technology, insurance and risk management, investor reporting and disclosure as well as other operational aspects of the firm’s investment advisory business

Qualifications

  • JD from an ABA-accredited law school and in good standing New York State Bar.
  • 6+ years of experience as a practicing attorney within the investment management industry
  • Legal experience from a law firm or PE fund is preferred
  • Knowledge of financial services regulations (SEC), private fund governing documents and private investment agreements.
  • We currently require that all personnel and visitors to our office are fully vaccinated against the COVID-19 virus + booster shot (subject to any exemptions or accommodations per state and county guidelines).