General Counsel & Chief Compliance Officer (New York, NY) : Our client, a $1B hedge fund with a strong reputation and track record, is looking to hire their first fully dedicated GC & CCO. This new hire will be a part of the team’s executive leadership committee and spearhead their compliance program efforts while also meaningfully contributing to their legal, IT, and HR efforts. The GC & CCO will be a strategic leader within the firm, collaborating with the CIO and CFO/COO to drive business decisions. This is an incredible opportunity for an extremely intelligent, motivated, and commercial legal and compliance professional to sit in a prestigious seat among a regarded group of individuals.

Key Points:

• First GC & CCO hire for this fund with exposure to the entirety of the business
• Fund is comprised of exceptional talent – this is a role for someone who wants to be surrounded by and elevated by tremendous individuals with impressive careers
• Impact opportunity – this new hire will put their thumbprint on a fund at this critical inflection point of growth

Responsibilities:

• Provide legal advice to the team regarding trade, employment, corporate, risk regulatory and other matters
• Execute the core of the compliance program: monitor Code of Ethics, review marketing materials, provide trade surveillance, create policies and procedures, perform compliance testing, chaperone expert network calls and prepare all regulatory filings
• Draft and negotiate contracts, offering documents, vendor agreements, NDAs, and other critical legal documents
• Keep abreast of regulatory developments and industry trends to ensure the compliance program remains current and effective
• Offer strategic advice to the PM and COO on business matters pertaining to legal, compliance, risk management, or anything that could use improvement – the team fosters an environment of elevating business practices
• Advise the investment team on trade related inquiries and matters
• Conduct compliance trainings, and work closely with the firm’s outside compliance consultant

Requirements:

• 10 years (plus/minus) of regulatory compliance experience within an investment manager
• JD required. Big law experience required.
• Exemplary career achievements; individual must demonstrate a history of being a trusted advisor to internal parties
• As part of a lean organization, the group focuses on talent surpass the focus of a job as everyone is a utility player and the reach that this person will have is far
• Proactive mindset/a thought leader among their peers

Compensation: $250-300K base; $600-800K all-in

Job Reference #1999