Chief Compliance Officer & Senior Counsel

Barclay Simpson; New York (NY); In loco; USD 300.000 - 500.000; Tempo pieno

Descrizione del lavoro

Barclay Simpson seeks a Chief Compliance Officer & Counsel to lead the U.S. compliance function for an established investment firm in New York.

The role combines strategic oversight of regulatory compliance with hands-on counsel across investment activities, fund structures, and private fund matters. The successful candidate will advise senior leadership and interact with regulators to ensure ongoing compliance with the Investment Advisers Act and SEC requirements.

Competenze

• 5+ years of compliance experience in investment management.
• Expertise in Investment Advisers Act and SEC requirements.

Mansioni

• Lead the firm’s compliance program and regulatory framework.
• Advise senior leadership on legal, regulatory and risk matters.
• Provide legal support across investment activities and fund structures.
• Advise on private fund matters, including fund documentation and investor arrangements.
• Oversee regulatory reporting, examinations and regulator interactions.

Conoscenze

Compliance experience

Regulatory knowledge

Investment compliance

Formazione

J.D.

Descrizione del lavoro

We are working with an established investment firm looking to appoint a Chief Compliance Officer & Counsel to lead its U.S. compliance function.

Salary ranges to $500,000 total compensation.

Key Responsibilities

• Lead and continue to develop the firm’s compliance program and broader regulatory framework.
• Advise senior leadership and investment teams on legal, regulatory and risk matters.
• Provide legal support across the firm’s investment activities, fund structures and other strategic initiatives.
• Advise on private fund matters, including fund documentation, investor arrangements and related legal considerations.
• Oversee regulatory reporting and manage examinations, inquiries and interactions with regulators.

Qualifications

• J.D. required.
• Significant compliance experience within investment management or alternative assets.
• Strong knowledge of the Investment Advisers Act and SEC requirements.