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:


  • 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.


  • 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
Jennifer Pettigrew
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Job summary

Legal Subsector
Financial Services
New York
Contract type
Consultant name
Jennifer Pettigrew
Job reference

About Page Executive

Page Executive are inclusive Recruiters and Hirers, as reflected in our Clear Assured Gold Standard Accreditation from the Clear Company. We are passionate about attracting diverse talent and are committed to ensuring our processes are inclusive and supportive.