Chief Compliance Officer & Associate General Counsel
About the Company
Top-tier investment management firm
Industry
Investment Management
Type
Privately Held
About the Role
The Company is seeking a Chief Compliance Officer (CCO) and Associate General Counsel (AGC) to lead and manage its compliance program while providing legal expertise on a range of regulatory, operational, and corporate matters. The successful candidate will be tasked with developing, implementing, and overseeing the firm's compliance program to ensure adherence to all relevant regulatory requirements, including those set forth by the SEC, CFTC, NFA, and other governing bodies. This role involves maintaining and updating policies and procedures, conducting monitoring and testing, and managing regulatory filings and inquiries. The CCO/AGC will also be responsible for providing legal advice on investment management, trading, marketing, and operational issues, as well as supporting risk management initiatives and collaborating with external legal counsel when necessary. Applicants must have a JD from a top-tier law school, be admitted to a U.S. state bar (New York preferred), and have a minimum of 10 years of legal and compliance experience within an investment adviser, hedge fund, asset management firm, or regulatory agency. A strong knowledge of financial regulations, particularly the Investment Advisers Act of 1940, the Securities Exchange Act of 1934, and CFTC/NFA regulations, is essential. The ideal candidate will have a proven track record in developing and implementing compliance programs, excellent communication skills, and the ability to interact effectively with senior management, investors, and regulators. A detail-oriented, strategic thinker with strong problem-solving and leadership skills is required for this pivotal role.
Travel Percent
Less than 10%
Functions
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