Our client, a hedge fund with over $3B in AUM, is seeking a GC/CCO to lead the firm’s legal and compliance functions. This well-established fund emphasizes a strong work-life balance, reflected in the long-term tenure of its employees, and is seeking a bright, motivated individual to join their leadership team. This role will report directly to the President and Founders of the fund and collaborate closely with teams across finance, operations, investor relations, and HR.
Key Points:
- Ideal opportunity for an AGC or DGC to step into the GC& CCO role.
- Fund has stick assets, strong performance, and prioritizes work-life balance to support its performance and success.
- Opportunity to have a seat at the table and drive strategic decisions with key stakeholders internally.
Responsibilities:
- Own the firm’s compliance program, including policy development, forensic testing, surveillance, and annual reviews under Rule 206(4) -7.
- Manage all regulatory filings, ensure SEC exam readiness, and provide legal guidance on products, structures, and operations.
- Prepare and negotiate offering documents, side letters, and counterparty agreements, ensuring alignment with fund terms and regulatory standards.
- Provide legal and compliance counsel to management and investment teams on regulatory risk, product initiatives, and reputational considerations.
- Review marketing materials, investor communications, and DDQ responses for compliance with SEC rules and disclosure requirements.
- Supervise outside counsel, compliance consultants, and vendors; lead due diligence and oversee cybersecurity and business continuity efforts.
- Conduct employee training, monitor personal trading and communications, and support HR on employment agreements, policies, and investigations.
Qualifications:
- JD with 7+ years of post JD experience working in a regulatory or compliance capacity within a hedge fund (preferred), private equity fund, traditional asset manager, compliance consulting firm, or the SEC
- Prior SEC exam experience strongly preferred
- Someone with strong judgement, excellent organizational skills and strong attention to detail
- Strong technical capabilities and an analytical mindset are critical
- Willingness to work in office 5 days/week
Compensation Expectations: $250K+ base; $650-850K+ all-in (dependent on experience)