General Counsel, Compliance

My client, a well-respected industry leader in the Real Estate space, is in search of General Counsel, Compliance to lead their legal and compliance functions as well as oversee regulatory filings and risk assessments. Will also manage outside counsel, build scalable compliance programs, advise senior leadership, and ensure regulatory readiness. The role demands extensive experience in securities law and compliance, with a focus on operational discipline and ethical standards. The ideal candidate is a tenured compliance first legal Executive.

Duties:

- Oversee regulatory filings, including Forms ADV, PF and D

- Oversee key regulatory and compliance matters, including fiduciary obligations, conflicts of interests, custody, fees and expenses, marketing materials, investor communications, vendor oversight and investor complaints.

- Create and enforce risk-based policies, procedures, risk assessments and testing calendars.

- Lead annual and interim compliance reviews and track corrective actions.

- Evaluate whether safeguards are designed and operating to prevent, detect and correct potential violations of securities laws, regulation, policy and procedures.

- Chair Legal & Compliance Committee meetings

- Advise Executive Committee and other stakeholders regarding regulatory concerns, findings, remediation status and emerging risks.

- Serve as the primary liaison with the SEC and other regulators

Qualifications:

- JD from an accredited law school and active license in New Jersey.

- 10+ years legal, compliance or regulatory experience, including 10 years of compliance leadership capacity.

- Experience with the Investment Advisers Act of 1940, private funds, registered investment advisers, alternative investment platforms or financial-services regulation.

- Significant experience preparing for and managing SEC examinations.

- Legal transactional experience in commercial real estate and investment funds highly preferred.