We represent a New York-based investment advisor primarily focused on investments in private equity funds, co-investments with private equity sponsors, and investments in private credit funds looking to hire a General Counsel/Chief Compliance Officer. As head of the legal and compliance function, the GC will guide the philosophy and strategy of the organization’s legal and regulatory matters and advise on Firm-wide initiatives.

Core Responsibilities

• Corporate Legal:
• Structure, negotiate and document investment transactions including limited partnership agreements, purchase agreements, subscription agreements, side letters and confidentiality agreements.
• Manage legal aspects of processes related to private equity investments, private placement investments, and fund investments.
• Negotiate terms of participation in initial and follow-on private placements and recapitalizations of existing investments.
• Assist in operational due diligence for prospective fund investments and legal diligence on co-investment opportunities, and ongoing monitoring.
• Coordinate/oversee external legal relationships and engagements
• Compliance and Regulatory:
• Develop, maintain and oversee all regulatory compliance and all legal matters.
• Prepare and maintain the filing of the Firm’s Form ADV and the preparation and review of other regulatory filings.
• Coordinate and conduct periodic internal audits, mock audits, risk assessments, and annual compliance reviews.
• Update and maintain compliance manuals and procedures, code of ethics program and employee compliance trainings.
• Administer securities trading policies, including pre-approval of employee trades.

Role Requirements/Qualifications

• Bachelors Degree and a J.D.
• Member of New York State Bar
• 7 years of experience as a senior legal officer, preferably in-house at an asset management firm.
• Current or recent experience working at the private funds group at a leading law firm is essential.
• Proven working knowledge of closed-ended funds, private equity funds (structuring, fund operations and fund closing matters) is essential.
• Proficiency in the Investment Advisors Act and the Investment Company Act.

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