General Counsel & Chief Compliance Officer

Alexander Chapman Ltd; Los Angeles (CA); On-site; USD 180,000 - 260,000; Full time

Job summary

Alexander Chapman Ltd is seeking a General Counsel & Chief Compliance Officer to join its leadership team in the Los Angeles Metropolitan Area. This is a hands-on, strategic role spanning legal, regulatory, and compliance matters with high engagement across senior decision-makers.

You will lead the design and execution of a robust regulatory program, manage inquiries and examinations, and advise on securities and investment-management rules while partnering with finance, risk, and business

Qualifications

• JD from an accredited law school.
• Active California Bar membership in good standing.
• Experience in investment management, wealth management, securities, or another regulated financial-services environment.
• Strong understanding of the regulatory framework applicable to SEC-registered investment advisers.
• Experience with regulatory examinations, filings, compliance programs, and regulatory inquiries.
• Exposure to M&A, transaction diligence, and post-close integration.
• Experience reviewing and negotiating commercial or client-facing agreements.
• Clean regulatory history and relevant securities registrations/licenses.
• Strong judgment, communication skills, and ability to operate independently with senior stakeholders.

Responsibilities

• Provide senior-level legal and regulatory guidance across the organization.
• Oversee and support the firm’s compliance framework, policies, and internal controls.
• Manage regulatory inquiries, examinations, filings, and ongoing compliance obligations.
• Advise on securities and investment-management regulatory matters.
• Review and negotiate key client, commercial, and business agreements.
• Identify legal and compliance risks and develop practical solutions.
• Support strategic transactions, including legal and regulatory due diligence and integration matters.
• Work closely with leadership and external advisors on sensitive legal, compliance, and risk issues.

Skills

Regulatory guidance

Stakeholder communication

Independent judgment

Strategic advisory

Education

JD from an accredited law school

California Bar membership in good standing

Job description

General Counsel & Chief Compliance Officer

Alexander Chapman is representing an established and growing financial services organization seeking a General Counsel & Chief Compliance Officer to join its leadership team in the Los Angeles Metropolitan Area.

This is a hands-on role with broad responsibility across legal, regulatory, compliance, and strategic matters, working closely with senior decision-makers across the business.

Key Responsibilities

• Provide senior-level legal and regulatory guidance across the organization.
• Oversee and support the firm’s compliance framework, policies, and internal controls.
• Manage regulatory inquiries, examinations, filings, and ongoing compliance obligations.
• Advise on securities and investment-management regulatory matters.
• Review and negotiate key client, commercial, and business agreements.
• Identify legal and compliance risks and develop practical solutions.
• Support strategic transactions, including legal and regulatory due diligence and integration matters.
• Work closely with leadership and external advisors on sensitive legal, compliance, and risk issues.

Qualifications

• JD from an accredited law school.
• Active California Bar membership in good standing.
• Legal and compliance experience within investment management, wealth management, securities, or another regulated financial-services environment.
• Strong understanding of the regulatory framework applicable to SEC-registered investment advisers.
• Experience with regulatory examinations, filings, compliance programs, and regulatory inquiries.
• Exposure to M&A, transaction diligence, and post-close integration.
• Experience reviewing and negotiating commercial or client-facing agreements.
• Clean regulatory history and relevant securities registrations/licenses.
• Strong judgment, communication skills, and ability to operate independently with senior stakeholders.