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For your reference, we have included the original job posting below.
Legal Counsel / Chief Compliance Officer
Job Number:
41887700
Company Name:
Confidential Company
Job Location:
New York, NY Us
Job Category:
Accounting & Finance
Salary:
Confidential
Legal Counsel / Chief Compliance Officer
Successful Boutique Investment Management Firm is seeking a Legal Counsel/Chief Compliance Officer for their New York office.
The Chief Compliance Officer/General Counsel will be involved in a range of compliance responsibilities. In addition, the CCO/GC will work with compliance and legal professionals to provide advice, recommendations, and solutions to the wide range of compliance, legal, and commercial matters that arise in the firm’s business. The role will be demanding, varied, and complex.
RESPONSIBILITIES: - Perform core compliance and legal functions - Advise on the registration of the firm with the appropriate regulatory agencies (e.g., SEC, CFTC, FINRA, NYSE). Candidates should have in-depth knowledge of these agencies and experience with registration-related processes.
-Liaise with the regulators - Advise on a full range of compliance and legal issues associated with the growing U.S. operation of a global investment management business - Develop, maintain, and deploy expertise in the investment management regulatory environment - Review, enhance, audit, and maintain compliance and legal programs - Continually review and improve internal marketing materials and disclosures - Keep the office current on recent compliance and legal issues, trends, and upcoming developments
Candidate Requirements: - Experience in a senior leadership position within a hedge fund compliance department, preferably at the CCO or Deputy CCO level - Capacity to mentor compliance staff members - Educated at top-tier academic institutions - Strong relationships with regulators
