Compliance Counsel

TBG | The Bachrach Group; New York (NY); On-site; USD 120,000 - 190,000; Full time

Job summary

The Bachrach Group is seeking a senior-level Legal & Compliance professional to advise investment and business professionals on regulatory, compliance, and governance matters. You will combine strong legal training with practical compliance experience in a fast-moving environment.

Based in New York, you will lead the development and administration of the program, coordinate with senior colleagues on SEC/CFTC/ERISA matters, and support investor due diligence and regulatory inquiries with clear

Qualifications

• Juris Doctor degree and admission to at least one U.S. state bar.
• At least five years of experience across law firm and in-house compliance.
• Experience with credit-oriented investment platforms or regulatory advisory firms preferred.
• Prior law-firm experience in investment-management or financial-regulatory practice.

Responsibilities

• Advise investment professionals on day-to-day compliance matters, focusing on private credit and fixed-income strategies.
• Collaborate with senior colleagues on SEC, CFTC, ERISA and securities regulations.
• Develop and administer the compliance program, including policies and annual reviews.
• Lead responses to investor DDQs, marketing reviews, and information requests.
• Draft and review investor disclosures, internal guidance, and memoranda.
• Coordinate regulatory inquiries and mock-exam preparation with outside advisers.
• Track regulatory developments and implement changes, including sustainability-related rules.
• Prepare clear compliance reporting for investment teams and senior management.
• Provide practical, risk-based guidance across departments to support initiatives.

Skills

Regulatory guidance

Legal drafting

Risk communication

Independent project leadership

Education

Juris Doctor

Job description

This role will serve as a key member of a collaborative Legal and Compliance team, advising investment and business professionals on a broad range of regulatory, compliance, and governance matters.

The successful candidate will combine strong legal training with practical compliance experience, sound judgment, and the ability to manage complex priorities in a fast-moving environment.

Key Responsibilities

• Advise investment professionals and other stakeholders on day-to-day compliance matters, with particular attention to private credit and corporate fixed-income strategies.
• Partner with senior Legal and Compliance colleagues on matters involving the SEC, CFTC, ERISA requirements, and applicable U.S. state, federal, and international securities regulations.
• Own the continued development and administration of the compliance program, including policies, procedures, controls, training, and the annual review required under Rule 206(4)-7.
• Lead the compliance response for investor due diligence questionnaires, marketing reviews, and other information requests from clients or prospective investors.
• Draft and review investor disclosures, internal guidance, business communications, and memoranda supporting the implementation of compliance requirements.
• Coordinate regulatory inquiries and examinations, including document production, management of responses, and mock-exam preparation with outside advisers and counsel.
• Track legal and regulatory developments, assess their business impact, and work with internal and external partners to implement appropriate changes, including those related to sustainability requirements.
• Prepare clear compliance reporting and updates for investment teams, business leaders, and senior management.
• Collaborate across investment, marketing, finance, operations, and middle-office functions to provide practical, risk-based guidance and support business initiatives.

Qualifications

• Juris Doctor degree and admission to at least one U.S. state bar.
• At least five years of relevant experience spanning law-firm practice and an in-house compliance role; experience with a credit-oriented investment platform or regulatory advisory firm is preferred.
• Prior law-firm experience is required, ideally within an investment-management, fund-formation, or financial-regulatory practice.
• Strong knowledge of U.S. and international regulatory expectations, industry practices, and effective risk communication.
• Excellent legal drafting, written communication, and presentation skills, with the ability to translate technical requirements into practical guidance.
• Demonstrated ability to take initiative, independently drive projects from inception through completion, and exercise sound judgment in unfamiliar situations.
• Collaborative and hands-on working style, with the interpersonal flexibility to build productive relationships across varied functions and personalities.
• Composed and reliable under pressure, with comfort operating through ambiguity, competing priorities, and tight deadlines.
• Independent, analytical thinker who is equally comfortable working autonomously and contributing to a highly integrated team.
• Willingness to address a broad and evolving range of legal and compliance matters in a demanding, fast-paced setting.