Compliance Counsel — Path to CCO in SEC-Regulated Growth

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

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.