Chief Compliance Officer & Deputy General Counsel

JW Michaels & Co.; San Francisco (CA); On-site; USD 230,000 - 330,000; Full time

Job summary

JW Michaels & Co. is seeking a Chief Compliance Officer and Deputy General Counsel for its San Francisco office. You will lead the legal and compliance program as the sole attorney, supported by outside counsel as needed, reporting to the CFO and Partners.

You will oversee contract reviews, policies and procedures, regulatory filings, ethics monitoring, and onboarding/offboarding processes, with a focus on investment management regulatory requirements and a high-performing, boutique environment.

Qualifications

• 7–12+ years of relevant Legal and Compliance experience.
• Experience advising an SEC-registered investment adviser or private-funds manager.
• Experience with private-fund formation and Advisers Act compliance.
• Regulatory examinations experience strongly preferred.

Responsibilities

• Oversee day-to-day management of the legal and compliance program.
• Review contracts and provide legal support to outside counsel.
• Develop and maintain policies and procedures.
• Maintain regulatory filings and ethics monitoring.
• Lead annual performance review processes and onboarding/exits.

Skills

Legal & Compliance experience

Advisers Act regulation

Private fund formation

Regulatory examinations

Job description

Our client, a ~2B San Francisco based private equity firm, is looking to hire their next Chief Compliance Officer and Deputy General Counsel. This individual will be part of a lean team in a boutique atmosphere, and the sole attorney at the firm. Will oversee/manage all aspects of the legal/compliance program as a team of 1 with the assistance of outside counsel.

The CCO / Deputy General Counsel supports the firm’s CFO and Partners in overseeing and operating a high-performing legal and compliance program. The successful candidate will be responsible for the day-to-day management of the legal and compliance program including contract reviews, legal support to outside counsel, developing and maintaining policies and procedures, maintaining regulatory filings and code of ethics monitoring, the annual performance review process, benefits and employee onboarding and exits.

Experience in the investment management industry.

7 – 12+ years of relevant Legal and Compliance experience, including meaningful experience advising an SEC-registered investment adviser or private-funds manager. Experience with private-fund formation, Advisers Act compliance, and regulatory examinations strongly preferred.