Compliance Counsel

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

Job summary

Empire Search Partners, LLC is assisting a mid-market lending platform in expanding its New York office with a Compliance Counsel role. The candidate will help shape the overall compliance function, coordinate regulatory filings, and implement ethics and allocation controls.

A clear path to Chief Compliance Officer is available as the firm grows under SEC registration. Experience: 4+ years in law firm or in-house regulatory/compliance roles.

Qualifications

• 4+ years of law firm or in-house regulatory/compliance experience.
• Experience supporting regulatory filings and ethics programs is desirable.
• Strong understanding of compliance frameworks and governance.

Responsibilities

• Develop and oversee ethics program components, including code of ethics.
• Assist with expense and investment allocations and regulatory filings.

Skills

Regulatory compliance

Legal compliance

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.