Chief Legal Counsel

Tamar Securities, LLC; Los Angeles (CA); On-site; USD 210,000 - 350,000; Full time

Benefits offered by this job

401(k) matching

Health insurance

Life insurance

Paid time off

Vision insurance

Job summary

Tamar Securities, LLC is seeking a dynamic Chief Compliance Officer to lead all legal and compliance functions from its Los Angeles, CA offices.

The role requires partnering with the external CCO, managing Form ADV filings, and shaping policies to ensure regulatory adherence and ethical operations across advisory platforms.

Qualifications

• JD from an accredited law school.
• Active bar membership in good standing.
• Minimum two years in investment adviser compliance or related legal/regulatory role.
• Experience supporting mergers and acquisitions due diligence and post-transaction integration.
• Strong knowledge of Investment Advisers Act of 1940 and SEC regulations.
• Experience liaising with external CCOs and coordinating filings.

Responsibilities

• Lead compliance program execution in partnership with external CCO and internal teams.
• Coordinate regulatory filings (e.g., Form ADV) and annual reviews.
• Oversee policy development, ethics program, and employee compliance certifications.
• Manage regulatory exams, information requests, and remediation tracking.
• Provide training and support across the firm on compliance matters.
• Maintain books and records in line with SEC/state requirements.

Education

Juris Doctor (JD)

Active bar membership

Law firm / in-house experience

Tools

Form ADV coordination

Job description

We are seeking a dynamic and highly skilled Chief Compliance Officer (CCO) to lead our legal and compliance functions. This pivotal role involves providing expert legal guidance across a broad spectrum of legal areas, ensuring adherence to regulatory standards, and safeguarding the organization’s integrity. The ideal candidate will be proactive, detail-oriented, and possess a comprehensive understanding of diverse legal disciplines, including estate planning, environmental law, securities law, litigation, and more. As a strategic partner to executive leadership, you will shape policies, oversee legal risk management, and foster a culture of compliance and ethical excellence.

Responsibilities

Compliance Program Execution (in partnership with External CCO)

• Act as the primary internal liaison to the external CCO, ensuring effective communication and implementation of compliance initiatives.
• Support the development, maintenance, and execution of the firm’s compliance policies and procedures.
• Assist in administering the Code of Ethics, personal trading monitoring, and employee compliance certifications.
• Coordinate and support regulatory filings (e.g., Form ADV updates, amendments, and state notices).
• Prepare materials and documentation for annual reviews conducted by the external CCO.

Regulatory Coordination & Exams

• Serve as the internal point of contact for regulatory examinations and information requests.
• Coordinate document gathering, responses, and follow-ups with the external CCO and regulators.
• Track and remediate compliance issues identified through exams or internal reviews.
• Review of policies and procedures, Form ADV, client agreements, and compliance history
• Identification of regulatory risks, conflicts, and potential liabilities
• Partner with legal, finance, and deal teams to support transaction execution.
• Coordinate with the external CCO to assess compliance implications of transactions.
• Support post-close integration, including:
• Aligning acquired firms with the existing compliance framework
• Updating disclosures, policies, and regulatory filings
• Assisting with onboarding and training of acquired personnel

Monitoring & Testing

• Execute compliance testing and monitoring activities as directed by the external CCO.
• Review marketing materials, communications, and advisory practices for regulatory compliance.
• Track and elevate compliance risks, conflicts of interest, and policy exceptions.

Training & Internal Support

• Deliver compliance training to employees and newly onboarded teams from acquisitions.
• Serve as a day-to-day resource for employees on compliance-related questions and issues.
• Promote a culture of compliance and accountability across the firm.

Recordkeeping & Reporting

• Maintain required books and records in accordance with SEC and state regulations.
• Prepare internal compliance reports and assist the external CCO with formal reporting.

Qualifications

• Clean U-4 required.
• Series 7, 63, or 65.
• Juris Doctor (JD) from an accredited law school.
• Active bar membership in good standing; candidates currently practicing law (e.g., in-house or at a law firm) are highly desirable.
• At least two years of experience in investment adviser compliance, securities law, or related legal/regulatory roles.
• Demonstrated experience supporting mergers and acquisitions, including compliance/legal due diligence and post-transaction integration.
• Strong working knowledge of the Investment Advisers Act of 1940, SEC regulations, and fiduciary obligations applicable to RIAs.
• Strong foundation in investment adviser compliance within SEC-registered environments, with the ability to operationalize regulatory requirements into practical policies and procedures.
• Serves as a key internal liaison to external compliance leadership, coordinating filings (incl. Form ADV), annual reviews, and ongoing program execution.
• Experience supporting M&A transactions, leading compliance due diligence and assisting with post-close integration across acquired advisory platforms.
• Handles regulatory exams and inquiries end-to-end, including document coordination, regulator interaction, and remediation tracking.
• Trusted compliance partner with strong interpersonal instincts-advises on day-to-day issues, delivers training, and promotes a firm-wide culture of compliance.
• Experience working with or alongside an external/outsourced Chief Compliance Officer (CCO) preferred.
• Familiarity with Form ADV, regulatory filings, compliance testing, and SEC/state examination processes.
• Prior experience in a law firm, regulatory agency, or in-house legal/compliance role within wealth management or asset management is a plus.
• High Social Intelligence skills.Key Skills & Competencies
• Strong execution and project management skills
• Ability to translate regulatory guidance into operational processes
• Experience coordinating across internal teams and external advisors
• Detail-oriented with strong organizational abilities
• Effective communicator with the ability to elevate issues appropriately

Reporting Structure

Reports to Chief Operating Officer (COO) with a dotted-line/functional reporting relationship to the external Chief Compliance Officer (CCO).

Pay range and compensation package

Attractive base salary plus bonuses, including a 401K match, discretionary profit sharing, health care coverage, vision, dental, and life insurance.

Pay is based on a number of qualifying factors this range is an example and not conclusive of actual pay which is determined on a case by case basis: $220,000.00 - $350,000.00 per year

• 401(k) matching
• Health insurance
• Life insurance
• Paid time off
• Vision insurance

License/Certification:

• License to practice Law in California (Required)