What are the responsibilities and job description for the Boutique Investment Bank GC/CCO position at Hudson Gate Partners?
Investment Bank (M&A Advisory) General Counsel/Chief Compliance Officer
$300-450k All In
Hybrid, 2-3 Days in Office
NYC
Our client is a boutique investment bank specializing in M&A transactions. They are seeking a General Counsel/Chief Compliance Officer. Firm has an excellent, collaborative culture.
Core responsibilities
- Manage all global regulatory filings
- Negotiate commercial contracts (including prime brokerage and ISDA Agreements, as well as IT and operational agreements)
- Serving on various internal committees
- Negotiate fund agreements, side letter agreements, NDAs, and other investment related contracts
- Assisting investment team on legal issues impacting portfolio investments
- Ensuring compliance with the Advisers Act
- Responding to ongoing AML/KTC and regulatory requests from counterparties
- Manage global network of relationships with law firms and compliance consultants
- Lead firm through regulatory examinations and mock compliance audits
- Work on various founder family office arrangements
Qualifications
- JD and active NY State Bar status
- Prior experience within M&A advisory REQUIRED
- MUST have 5-10 years experience in the private fund group/Investment Bank of a leading law firm, and/or the legal & compliance department of a Investment Firm or Bank.
- Extensive experience with and compliance, and the Investment Advisers Act
- Sound and practical judgement with a client friendly, commercial orientation
- Commitment to the highest standards of ethics, protection of confidential information, and teamwork
- Outstanding communication skills to interact effectively with investors, regulators, and service providers
Please send resumes to rowan@hudsongatepartners.com
Salary : $300,000 - $450,000
