Compliance Counsel

Empire Search Partners, LLC; New York (NY); On-site; USD 230,000 - 330,000; Full time

Job summary

Empire Search Partners, LLC is working with a middle-market lending platform in New York to hire a compliance counsel. The role focuses on shaping the firm's compliance function and handling regulatory filings as it grows post-SEC registration.

The ideal candidate has 4+ years of law firm or in-house regulatory and compliance experience, with responsibilities including code of ethics, expense allocations, and investment allocations. There is a clear path to becoming Chief Compliance Officer.

Qualifications

• 4+ years of law firm or in-house regulatory/compliance experience.
• Experience with ethics codes, expense allocations, investment allocations, regulatory filings.

Responsibilities

• Develop and shape the compliance function for a NY office.
• Oversee code of ethics, expense allocations and investment allocations, regulatory filings.
• Support growth with a clear path to Chief Compliance Officer.

Skills

Regulatory compliance

Legal experience

Job description

Experience: 4+ years of law firm or in-house regulatory/compliance experience

Our client, a middle-market lending platform, is looking for a compliance counsel to join their New York office. The firm is experiencing hyper-growth and has recently registered with the SEC. Currently using an outside consultant, the firm is ready to bring on a dedicated compliance professional to help shape the overall compliance function. Code of ethics, expense allocations, investment allocations, regulatory filings etc. Additionally, there is a clear path to become CCO.

Compensation: $230k/yr - $330k/yr

Empire Search Partners is an Equal Opportunity Employer and will not discriminate against any individual application based on race, color, sex, national origin, age, religion, marital status, sexual orientation, gender identity, gender expression, military or veteran status, disability, or any factors prohibited by applicable laws. Empire Search Partners celebrates diversity and is committed to creating an inclusive environment for our employees and for the clients we serve.