Deputy Chief Compliance Officer & Legal Counsel

Job Description

A growing investment management firm is seeking a Deputy Chief Compliance Officer & Legal Counsel to help lead its regulatory compliance and legal functions.

This role offers the opportunity to build and enhance a compliance program as the organization moves toward SEC registration as a Registered Investment Adviser (RIA). The successful candidate will work closely with executive leadership, combining hands-on regulatory expertise with legal guidance across investment activities, private funds, and business operations.

Key Responsibilities

Compliance & Regulatory Oversight

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• Support the firm's SEC investment adviser registration process, including Form ADV preparation and regulatory submissions.
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• Build and maintain an RIA compliance program aligned with the Investment Advisers Act of 1940.
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• Develop policies covering employee conduct, personal trading, conflicts of interest, political contributions, outside activities, and regulatory recordkeeping.
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• Establish compliance testing, monitoring, risk assessments, and reporting procedures.
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• Coordinate annual compliance reviews, regulatory examinations, and ongoing SEC filing obligations.
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• Track regulatory changes and implement appropriate compliance enhancements.
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Legal Advisory & Fund Management

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• Advise leadership on investment adviser regulations, fiduciary responsibilities, fund governance, and regulatory exposure.
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• Draft, review, and negotiate advisory agreements, investment contracts, and other legal documentation.
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• Review private fund offering materials, partnership agreements, subscription documents, and investor disclosures.
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• Provide legal guidance on new investment products, fund launches, and business initiatives.
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• Review marketing and investor communications for applicable regulatory requirements.
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• Collaborate with external attorneys, auditors, and compliance advisers on legal and regulatory matters.
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Governance & Business Partnership

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• Serve as a trusted legal and compliance adviser to investment teams and senior management.
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• Identify regulatory risks and develop practical controls that support business growth.
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• Implement internal training, reporting standards, and governance procedures.
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• Help establish scalable compliance processes as the investment platform expands.
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Qualifications

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• Juris Doctor (JD) from an accredited law school and active membership in good standing with a U.S. state bar.
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• 5+ years of legal and compliance experience within investment management, private funds, or alternative investments.
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• Strong knowledge of the Investment Advisers Act of 1940, SEC regulations, and RIA compliance requirements.
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• Direct experience establishing, managing, or improving an SEC-registered investment adviser compliance program.
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• Hands-on experience with Form ADV, regulatory filings, compliance policies, and SEC examination preparation.
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• Legal experience advising investment advisers, private fund managers, or alternative investment businesses.
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• Understanding of fiduciary duties, conflicts management, investor disclosures, and fund governance.
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• Strong drafting, communication, and stakeholder management skills.
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• Ability to work independently, take ownership of initiatives, and thrive in a growing organization.
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