Chief Compliance Officer

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