Deputy Chief Compliance Officer & Legal Counsel

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.

RESPONSIBILITIES

Compliance & Regulatory Oversight

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

Legal Advisory & Fund Management

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

Governance & Business Partnership

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

QUALIFICATIONS

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