Compliance Counsel

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

Job summary

Empire Search Partners is seeking a compliance counsel for their New York office to help shape the company’s growing regulatory function after SEC registration. The role involves building robust compliance processes, ethics governance, and overseeing regulatory filings.

Ideal candidates will have 4+ years in law firm or in-house regulatory/compliance roles and a clear path toward becoming Chief Compliance Officer within the organization.

Qualifications

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

Responsibilities

• Shape the overall compliance function, including ethics and governance.
• Manage code of ethics, expense allocations, investment allocations, and regulatory filings.

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.