General Counsel, Compliance

Clark Davis Associates; Parsippany-Troy Hills (NJ); On-site; USD 180,000 - 320,000; Full time

Job summary

Clark Davis Associates is seeking a General Counsel, Compliance for a leading Real Estate industry client to lead legal and compliance functions and oversee regulatory filings and risk assessments.

The role requires extensive securities law and compliance experience, with an emphasis on operational discipline and ethical standards; the ideal candidate is tenured, compliance-first, and capable of advising senior leadership and managing outside counsel.

Qualifications

• JD from accredited law school and active New Jersey license.
• 10+ years in legal, compliance, or regulatory roles with leadership.
• Experience with the Investment Advisers Act of 1940 and registered funds.
• Experience preparing for and managing SEC examinations.
• Real estate and investment funds transactional experience preferred.

Responsibilities

• Oversee regulatory filings (Forms ADV, PF and D).
• Oversee key regulatory and compliance matters, including fiduciary obligations, conflicts of interests, custody, fees and expenses, marketing materials, investor communications, vendor oversight and investor complaints.
• Create and enforce risk-based policies, procedures, risk assessments and testing calendars.
• Lead annual and interim compliance reviews and track corrective actions.
• Evaluate safeguards designed to prevent, detect and correct potential securities violations.
• Chair Legal & Compliance Committee meetings.
• Advise Executive Committee regarding regulatory concerns and remediation status.
• Serve as primary liaison with the SEC and other regulators.

Skills

Securities law

Compliance leadership

Regulatory risk

Stakeholder advisory

Regulatory liaison

Education

Juris Doctor (JD)

Job description

My client, a well-respected industry leader in the Real Estate space, is in search of General Counsel, Compliance to lead their legal and compliance functions as well as oversee regulatory filings and risk assessments. Will also manage outside counsel, build scalable compliance programs, advise senior leadership, and ensure regulatory readiness. The role demands extensive experience in securities law and compliance, with a focus on operational discipline and ethical standards. The ideal candidate is a tenured compliance first legal Executive.

Duties:

• Oversee regulatory filings, including Forms ADV, PF and D
• Oversee key regulatory and compliance matters, including fiduciary obligations, conflicts of interests, custody, fees and expenses, marketing materials, investor communications, vendor oversight and investor complaints.
• Create and enforce risk-based policies, procedures, risk assessments and testing calendars.
• Lead annual and interim compliance reviews and track corrective actions.
• Evaluate whether safeguards are designed and operating to prevent, detect and correct potential violations of securities laws, regulation, policy and procedures.
• Chair Legal & Compliance Committee meetings
• Advise Executive Committee and other stakeholders regarding regulatory concerns, findings, remediation status and emerging risks.
• Serve as the primary liaison with the SEC and other regulators

Qualifications:

• JD from an accredited law school and active license in New Jersey.
• 10+ years legal, compliance or regulatory experience, including 10 years of compliance leadership capacity.
• Experience with the Investment Advisers Act of 1940, private funds, registered investment advisers, alternative investment platforms or financial-services regulation.
• Significant experience preparing for and managing SEC examinations.
• Legal transactional experience in commercial real estate and investment funds highly preferred.