Overview

The asset management division of a diversified financial services firm that has been conducting business for over one hundred years seeks a General Counsel and Chief Compliance Officer (GC/CCO) for the Registered Investment Adviser.

The GC/CCO will serve as the General Counsel on a variety of investment and procedural legal matters, while also overseeing and operating the compliance program.

Primary Responsibilities

The GC/CCO will provide counsel and serve as liaison with internal and outside counsel on drafting and review on a variety of matters such as offering documents, Investment Management Agreements, LP/LLC Agreements, ISDAs, formation documents, and vendor agreements.

The GC/CCO will also be responsible for continued development, implementation, improvement, maintenance, and monitoring of all compliance requirements.

In addition, The GC/CCO will also serve as the senior member of the team responsible for interacting with others both within the organization, as well as with regulators, investors, and prospective investors, on general legal matters and items specific to the compliance program.

The GC/CCO must be comfortable interacting with a wide variety of team members across operations and the investment teams, and should have the experience and comfort to serve as a resource for all levels of the organization.

The GC/CCO must have an understanding of the business and have the capacity to grow with the organization, ensuring continued compliance excellence while facilitating an adapting business and entrance into new business lines.

Basic Qualifications

* Requires a Bachelor’s degree from an accredited college

* Juris Doctorate from an accredited institution is required with a record of strong academic and professional achievement.

* Admitted to practice before a U.S. state bar association required

* Investment Advisers Act of 1940 and other investment management or securities law experience

* 7 years of relevant work experience in a compliance / regulatory role

* Limited travel required

Other Requirements

* Strong background in compliance

* Previous experience overseeing a compliance program within a substantial RIA environment

* Demonstrated ability to design and implement appropriate procedures and controls to ensure institutional compliance

* Demonstrated ability to interpret, author, and maintain compliance documents including manuals, code of ethics, and form ADV filings

* Experience with MNPI controls and procedures, and a clear philosophy on how to best manage concerns around MNPI

* Experience in negotiating and drafting contracts, legal memoranda, and other agreements at an investment management firm

* Excellent verbal and written communication skills with the ability to communicate to all levels of the organization and any regulatory bodies on compliance practices

* Proven project management skills

* Ability to work in a dynamic and faced paced environment

* Ability to work in a team but also understand instructions quickly and work independently

* Organizational skills and flexibility in handling multiple demands and changing priorities

* Ability to problem solve, provide new ideas and suggestions

* Excellent follow-up and follow-through skills

* Self-motivated

* Experience designing, developing, maintaining, and improving compliance policies and procedures associated with being Registered Investment Advisor

* Experience implementing these policies and procedures

* Experience working with real estate and fixed income investment platforms

* Experience working with Collateralized Loan Obligations (CLOs) and syndicated bank loans

* Experience working closely with investment professionals at all levels

Please email resumes to Jack Kelly at Jack@ComplianceSearch.com.

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