General Counsel & Chief Compliance Officer

About ASG

ASG is a New York–headquartered, SEC-registered investment firm with approximately $1.8 billion in assets under management. The firm invests in global innovation across public and private markets, applying institutional-grade rigor, disciplined underwriting, and proprietary data intelligence to identify and invest in category-defining companies.

Role Overview

The General Counsel and Chief Compliance Officer (GC/CCO) serves as ASG's chief legal and compliance executive, responsible for leading the firm's legal, regulatory, governance, and compliance functions. This role is a critical strategic partner to the CEO and works closely with senior business leaders across the organization, providing strategic legal counsel on matters that impact the firm's investment platform, governance, regulatory framework, and long-term business objectives.

Beyond providing legal counsel, this role is expected to think ahead, think strategically, and anticipate emerging legal, regulatory, and business challenges before they arise. The GC/CCO will help build scalable legal and compliance infrastructure, strengthen governance, and enable responsible business growth while protecting the firm's reputation, fiduciary standards, and long-term institutional success.

The successful candidate will bring an institutional mindset, exceptional legal judgment, strong commercial acumen, and the ability to balance prudent risk management with business objectives in a fast-growing global investment platform. 

Core Responsibilities

I. Investment Legal Oversight (Private & Public Strategies)

• Lead all legal support for direct, fund, co-investment, and secondary strategies.
• Structure and negotiate equity, credit, hybrid, and structured transactions.
• Oversee term sheets, legal due diligence, governance rights, and exit mechanics.
• Manage documentation such as SPAs, shareholder agreements, bylaws, ROFRs, and side letters.
• Coordinate external counsel across geographies to ensure cost efficiency and legal consistency.
• Strengthen complete legal records for audit-readiness and transparency.

II. Fund Formation, Structuring & Internal Capital Platform

• Oversee formation and structuring of funds, SPVs, and co-investment vehicles.
• Draft, negotiate, and manage LPAs, LLC agreements, subscription documents, side letters, and PPMs.
• Design governance and economics for GP and management entities.
• Ensure regulatory, tax, and jurisdictional compliance across the fund lifecycle.
• Lead fund amendments, investor onboarding, and LP diligence/MFN processes.

III. Global Regulatory Compliance & Risk Management

• Design and implement ASG’s global compliance framework across SEC, CFTC, FINRA, GDPR, AML/KYC, and relevant international regimes.
• Oversee Form ADV, Form PF, and other required filings.
• Strengthen policies on fiduciary duty, insider trading, cybersecurity, and data privacy.
• Anticipate regulatory developments and update compliance infrastructure.
• Lead responses to regulatory audits and examinations.
• Serve as internal counsel for employment matters, internal investigations, and risk escalations.
• Proactively anticipate emerging regulatory developments and evolving market practices, ensuring the firm remains ahead of legal, compliance, governance, and fiduciary expectations.

IV. Corporate & Institutional Legal Infrastructure

• Provide strategic legal counsel for corporate governance, employment matters, vendor contracts, and technology partnerships.
• Review and manage NDAs, leases, software agreements, recruiting contracts, and vendor arrangements.
• Oversee corporate governance formalities, entity records, and Delaware franchise compliance.
• Serve as corporate secretary for board documentation, resolutions, signature authority, and D&O insurance.

V. Governance, Investor Alignment & Transparency

• Ensure strong fiduciary practices and alignment with LP expectations.
• Advise investor communications, notices, reporting obligations, and MFN enforcement.
• Oversee LP onboarding, side letter tracking, and data protection compliance.
• Partner with Investment Committee and advisory board processes.

VI. Internal Systems, Technology & Data Compliance

• Govern compliance for internal systems (Microsoft 365, DocuSign, MCO).
• Implement cybersecurity, data governance, and vendor oversight controls.
• Ensure legal terms in software and data-sharing agreements meet ASG standards.

VII. Executive Partnership, Leadership & Strategic Collaboration

• Serve as a trusted strategic advisor to the CEO on legal, regulatory, governance, and enterprise risk matters.
• Partner closely with senior business leaders to enable growth while balancing legal, regulatory, fiduciary, and reputational risks.
• Build strong cross-functional relationships across investment, investor relations, finance, operations, technology, and capital formation.
• Lead cross-functional initiatives that strengthen governance, organizational effectiveness, and institutional capabilities.
• Build and develop a high-performing legal and compliance function capable of supporting the firm's long-term global growth.

Qualifications

Education & Professional Background

• J.D. from an accredited law school; strong academic performance required.
• Active bar membership in at least one U.S. jurisdiction; NY bar preferred.
• 15–20+ years of legal experience, with significant time in private funds, investment management, corporate law, or securities regulation.
• Prior experience as GC, Deputy GC, CCO, or senior in-house counsel at an investment firm, multi-family office, or asset manager strongly preferred.
• Demonstrated expertise in venture capital, private equity, structured investments, and cross-border transactions.
• Deep knowledge of SEC, CFTC, FINRA, AML/KYC, GDPR, and global regulatory regimes.
• Experience supporting executive leadership through periods of organizational growth, institutionalization, fund expansion, or strategic transformation is strongly preferred.

Technical & Functional Expertise

• Proven ability to lead negotiation and structuring complex investment transactions.
• Strong understanding of fund formation, partnership agreements, governance structures, and investor rights.
• Hands-on experience managing Form ADV, Form PF, regulatory audits, and compliance frameworks.
• Mastery of commercial contracting, employment law exposure, and corporate governance best practices.
• Familiarity with cybersecurity, data governance, IT security frameworks, and technology-related legal standards.
• Demonstrated ability to design governance and legal frameworks that enable disciplined growth while establishing institutional standards.

Leadership & Strategic Capabilities

• Executive presence with the ability to influence strategic decision-making across the organization.
• Forward-thinking mindset with the ability to anticipate emerging legal, regulatory, and business risks while identifying practical solutions.
• Demonstrated ability to think strategically and build scalable legal, compliance, governance, and risk-management infrastructure for a growing institutional investment platform.
• Strong commercial judgment with the ability to balance prudent risk management against business objectives and investment opportunities.
• Trusted advisor to the CEO with exceptional communication skills and credibility across senior stakeholders.
• Proven ability to lead cross-functional initiatives, influence without formal authority, and build alignment across diverse teams.
• High integrity, sound judgment, discretion, and resilience in complex, fast-moving environments..

Personal Attributes

• Entrepreneurial mindset with the ability to thrive in a dynamic, high-growth investment environment.
• Highly proactive and intellectually curious, with a habit of anticipating issues before they become problems.
• Strong sense of ownership and accountability with a solutions-oriented approach.
• Ability to simplify complex legal issues into practical business guidance.
• Collaborative leader capable of influencing stakeholders across functions and jurisdictions.
• Strong ethical compass and unwavering commitment to fiduciary excellence.

What We Offer

• The opportunity to shape the legal and compliance foundation of a growing, SEC-registered investment platform
• High-impact role with direct CEO partnership and meaningful influence across firm strategy
• Competitive compensation, including base, annual bonus, and carry potential
• Comprehensive benefits package