General Counsel/Chief Compliance Officer
Our client is a prominent investment management firm searching for a GC / CCO to manage, grow, and implement an SEC regulatory program and manage internal legal operations.
- Responsible for the ongoing development, implementation, and refinement of a comprehensive compliance program
- Legal experience / familiarity is a plus... things like Fund formation, fund structuring, side letter negotiations
- New SEC marketing rules, as well as, ADVs PPMs sub docs
- Demonstrated experience working with auditors and regulators on all compliance related matters; conduct compliance audits, risk assessments, and coordinate regulatory responses as needed
- Previous experience with SEC Examinations
- Ability to represent the compliance function to investors; speak in depth on regulatory matters in a commercially adept manner
- Provide advice and training to management and employees regarding applicable securities rules, regulations, and firm policies
- Strong familiarity with MNPI / Expert Network matters
- JD Required
- 10+ years of a combination of legal, compliance and / or regulatory experience working in a similar environment
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