Growth-Driven Compliance Counsel (Path to CCO)

Empire Search Partners, LLC; 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

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.