General Counsel & Chief Compliance Officer

Cardea Group; New York (NY); On-site; USD 150,000 - 200,000; Full time

Job summary

An established industry player is seeking a General Counsel & Chief Compliance Officer to lead its compliance program and drive strategic decisions. This role offers a unique opportunity for a seasoned legal professional with strong regulatory experience, particularly within hedge funds or private equity. You will own the compliance program, ensuring regulatory readiness and providing legal counsel to management and investment teams. This position emphasizes work-life balance and requires a commitment to in-office work five days a week. Join a dynamic team where your expertise will directly influence the firm's success and compliance culture.

Qualifications

• JD with 7+ years of experience in regulatory or compliance roles.
• Strong judgement and excellent organizational skills are essential.

Responsibilities

• Own compliance program, manage regulatory filings, and provide legal guidance.
• Supervise outside counsel and conduct employee training on compliance.

Skills

Regulatory Compliance

Legal Analysis

Policy Development

Attention to Detail

Organizational Skills

Analytical Mindset

Education

Juris Doctor (JD)

Job description

General Counsel & Chief Compliance Officer

New York, NY

Job Reference #3137030

• Ideal opportunity for an AGC or DGC to step into the GC& CCO role.
• Fund has stick assets, strong performance, and prioritizes work-life balance to support its performance and success.
• Opportunity to have a seat at the table and drive strategic decisions with key stakeholders internally.

Responsibilities:

• Own the firm’s compliance program, including policy development, forensic testing, surveillance, and annual reviews under Rule 206(4) -7.
• Manage all regulatory filings, ensure SEC exam readiness, and provide legal guidance on products, structures, and operations.
• Prepare and negotiate offering documents, side letters, and counterparty agreements, ensuring alignment with fund terms and regulatory standards.
• Provide legal and compliance counsel to management and investment teams on regulatory risk, product initiatives, and reputational considerations.
• Review marketing materials, investor communications, and DDQ responses for compliance with SEC rules and disclosure requirements.
• Supervise outside counsel, compliance consultants, and vendors; lead due diligence and oversee cybersecurity and business continuity efforts.
• Conduct employee training, monitor personal trading and communications, and support HR on employment agreements, policies, and investigations.

Qualifications:

• JD with 7+ years of post JD experience working in a regulatory or compliance capacity within a hedge fund (preferred), private equity fund, traditional asset manager, compliance consulting firm, or the SEC
• Prior SEC exam experience strongly preferred
• Someone with strong judgement, excellent organizational skills and strong attention to detail
• Strong technical capabilities and an analytical mindset are critical
• Willingness to work in office 5 days/week