Chief Compliance Officer & General Counsel

Job Description

About the Role

We are seeking an accomplished legal and compliance executive to lead the firm's regulatory, legal, and governance functions. This executive will provide strategic guidance while maintaining a hands-on approach to compliance oversight, legal risk management, and corporate governance within a regulated investment management environment

.The successful candidate will partner with senior leadership to support business growth, ensure regulatory compliance, and develop practical solutions that balance business objectives with sound risk management.

Key Responsibilities

Compliance & Regulatory Oversight

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• Serve as the firm's senior compliance executive and oversee the enterprise compliance program.
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• Design, implement, and maintain compliance policies, procedures, and governance frameworks.
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• Lead annual compliance reviews and ongoing monitoring activities to evaluate program effectiveness.
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• Manage regulatory filings and disclosures, ensuring timely and accurate submissions.
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• Direct regulatory examinations, audits, and responses to inquiries from oversight agencies.
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• Monitor changes in regulatory requirements and implement enhancements to compliance processes.
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• Oversee employee compliance programs, including personal trading, conflicts of interest, outside business activities, political contributions, and gifts and entertainment.
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• Develop and deliver compliance training across the organization.
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Leadership

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• Act as the organization's principal legal advisor on corporate, regulatory, and commercial matters.
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• Draft, review, and negotiate a broad range of commercial and corporate agreements, including advisory, vendor, technology, employment, confidentiality, and service contracts.
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• Counsel executive leadership on securities regulations, fiduciary obligations, corporate governance, employment matters, privacy, cybersecurity, and litigation risk.
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• Coordinate legal support for strategic initiatives, business transactions, partnerships, and acquisitions.
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• Manage relationships with outside counsel and oversee external legal resources when specialized expertise is required.
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Risk Management & Governance

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• Maintain an enterprise-wide legal and compliance risk framework.
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• Identify emerging regulatory, operational, and legal risks while recommending appropriate mitigation strategies.
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• Oversee compliance testing, monitoring, and internal controls designed to strengthen the firm's regulatory posture.
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• Support programs related to anti-money laundering, sanctions, privacy, cybersecurity, and third-party risk, as applicable.
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• Advise executive leadership and the Board of Directors on governance matters and regulatory developments.
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• Prepare governance materials, maintain corporate records, and support board and committee activities.
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Business Partnership

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• Collaborate with investment, operations, finance, technology, and human resources teams to provide practical legal and regulatory guidance.
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• Support the launch of new products and business initiatives by identifying legal and compliance considerations early in the process.
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• Review marketing and client communications for regulatory compliance.
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• Assist with client onboarding, due diligence requests, and institutional questionnaires.
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Qualificati ons

Required

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• Juris Doctor (JD) from an accredited law school.
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• Active membership in good standing with at least one U.S. state bar.
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• Eight or more years of legal and/or compliance experience within investment management, wealth management, asset management, registered investment advisory, or securities-related organizations.
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• Extensive knowledge of the Investment Advisers Act, SEC regulations, fiduciary obligations, compliance program administration, and regulatory disclosure requirements.
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• Experience managing regulatory examinations and interacting with government regulators.
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• Strong background drafting, negotiating, and reviewing complex commercial agreements.
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• Excellent leadership, communication, and relationship management skills.
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Preferred

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• Experience serving in a dual legal and compliance leadership capacity
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• Background supporting boutique investment managers, independent advisory firms, or family office environments.
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• Familiarity with private investment vehicles, ERISA, alternative investments, and related regulatory frameworks.
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• Experience implementing or enhancing compliance systems, technology, or governance platforms.
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