Chief Compliance Officer

Chief Compliance Officer (with potential for a counsel title) - New York, NY: Our client, a leading wealth management firm, is seeking a Chief Compliance Officer to join their legal and compliance team. This individual will oversee the firm's regulatory compliance, legal affairs, corporate governance, and enterprise risk management, serving as a trusted advisor to leadership on a broad range of strategic and operational matters. The ideal candidate will bring a strong combination of legal expertise, regulatory knowledge, and commercial judgment, with the ability to navigate complex issues while supporting the firm's long-term objectives and fiduciary responsibilities.

Key Points

• Opportunity to oversee both the legal and compliance functions, with responsibility for a wide range of corporate, regulatory, investment, and governance matters.
• Exposure to complex private investment structures, alternative investment vehicles, and the unique legal and fiduciary considerations associated with ultra-high-net-worth individuals and families.
• Work closely with investment, operations, human resources, and other business teams, providing practical solutions to complex legal and regulatory matters.
• Play a central role in strengthening the firm's compliance framework, managing enterprise risk, and supporting a culture of integrity, accountability, and sound judgment.
• Excellent quality of life organization.

Responsibilities

• Serve as the firm's chief legal advisor on corporate, commercial, investment, employment, and fiduciary matters.
• Lead the firm's enterprise compliance program, ensuring adherence to SEC regulations, fiduciary obligations, privacy requirements, anti-money laundering regulations, and applicable federal and state laws.
• Monitor and interpret evolving legal and regulatory developments, advising leadership on potential risks and implications for the business.
• Oversee compliance testing, surveillance, regulatory examinations, and annual risk assessments.
• Manage legal and compliance matters relating to cybersecurity, business continuity planning, and internal governance policies.
• Review and negotiate investment-related legal documentation, including subscription agreements, co-investment agreements, investment management agreements, limited partnership agreements, and consents.
• Advise on employment matters, human resources policies, and workforce compliance.
• Oversee relationships with external legal counsel and specialized advisors, coordinating support on complex transactions, litigation, and other legal matters.
• Identify and address potential conflicts of interest, ensuring that legal and compliance decisions reflect the firm's fiduciary obligations and long-term interests.

Qualifications

• Bachelor's degree required.
• Juris Doctor (JD) preferred along with admission to practice law in at least one U.S. jurisdiction.
• 10+ years of legal and compliance experience, ideally within a multi-family office, Registered Investment Advisor (RIA), or similarly sophisticated investment management environment.
• Strong understanding of SEC regulations, fiduciary obligations, investment adviser compliance, and applicable federal and state regulatory requirements.
• Deep familiarity with private investment structures, alternative investment vehicles, and the legal complexities.
• Experience managing regulatory examinations, negotiating complex commercial agreements, and advising on investment-related legal matters.
• Demonstrated ability to balance risk management with commercial objectives, offering practical solutions rather than unnecessarily restrictive guidance.
• Exceptional judgment, integrity, and discretion, with the confidence to deliver difficult messages and maintain independence when appropriate.
• IACCP and/or CAMS certification preferred but not required. CFA designation is also desirable.

Compensation: up to $550K all-in cash compensation

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