Compliance Counsel

Our client is a leading global private equity firm looking to hire a regulatory attorney/compliance counsel with a focus on asset management compliance.

Summary of Essential Job Functions

• Review and interpret regulatory requirements, in particular requirements under the federal securities laws, primarily the Investment Advisers Act of 1940.
• Interpretation and analysis of fund documentation (LPAs, side-letters, etc.)
• Assist with the management of a 206(4)-7 Compliance Program
• Assist with firm’s Code of Ethics, including personal trading, gifts and entertainment, and political contributions.
• Marketing Review.
• Regularly work with the Investment Team, IR team, Fund Accountants, and more
• Track regulatory developments with an ability to identify the impact to business, drive effective solutions, and draft periodic notices on compliance issues of interest to functional business areas.
• Draft compliance policies and procedures and maintain the firm's compliance policy manual.
• Handle regulatory reporting, including quarterly/annual compliance reports to senior management.
• Prepare and file various SEC and other regulatory filings RIAs
• Regulatory Exams and Inquiries

Minimum Requirements

• Juris Doctor degree
• Minimum of 3-5 years' compliance and regulatory experience in-house at a RIA or at a law firm in an asset management or financial services practice or at a regulatory agency (e.g., SEC), preferably with exposure to private funds.
• Knowledge of federal securities laws, including the Investment Advisers Act of 1940 and related regulatory requirements attendant to private fund offerings.
• Well-developed interpersonal skills
• Good organizational and project management skills
• Ability to work effectively under pressure in a fast-paced environment.
• Strong individual contributor and problem solver with the ability to work effectively with a team.
• Strong verbal and written communication skills, including the ability to effectively communicate complex technical compliance issues.