General Counsel and Chief Compliance Officer

New York Permanent $300,000 - $400,000 per year
  • International investment management client seeking GC/CCO
  • Hybrid role 3 days in office, 2 days WFH

About Our Client

International Investment Management client.

Job Description

The GC/CCO will report directly to the CEO and will be responsible for managing the firm's compliance and legal functions.

Main responsibilities will include:

COMPLIANCE

  • Taking ownership of the implementation and management of Investment Advisor Compliance Program, regulatory compliance program and training
  • Advising the business on all legal and compliance regulations
  • Overseeing surveillance activities related to portfolio management and trading
  • Advise international compliance teams within the business related to training, best practices, etc.s and projects.



LEGAL

  • Advise on all legal matters pertaining to investment management firm
  • Provide legal support and guidance to the VC and Real Estate investment businesses, including advising on fund structures, fund formation, fund documentation, private funds



The Successful Applicant

  • JD from an ABA-accredited law school
  • Admission to NY State Bar
  • 6-12 years of experience as a practicing attorney managing the legal and compliance program of an investment manager or fund
  • Experience overseeing investment advisory program and regulatory compliance program
  • Strong understanding and experience with FINRA regulations, Investment Company Act of 1940, Investment Advisor Act of 1940
  • Experience advising on fund structures, fund formation and all related documentation
  • Excellent communication skills

What's on Offer

  • Competitive base salary
  • Bonus
  • Excellent benefits
  • 20 days PTO
  • 6% 401k match
  • Direct access to CEO
  • Room for growth and expansion of team
  • Hybrid working environment
Contact
Jennifer Pettigrew
Quote job ref
JN-092022-5749201

Job summary

Function
Legal
Subsector
Legal Subsector
Industry
Financial Services
Location
New York
Contract type
Permanent
Consultant name
Jennifer Pettigrew
Job reference
JN-092022-5749201

About Page Executive

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