Job #1934: Chief Compliance Officer/ General Counsel - NY (5/20/2024)

EisnerAmper LLP; New York (NY); On-site; USD 250,000; Full time

Job summary

A leading firm in the investment management sector seeks a Chief Compliance Officer/ General Counsel to manage global compliance across multiple funds. This high-level role demands extensive regulatory knowledge and strong leadership skills, with a focus on improving compliance processes and ensuring accurate reporting. The ideal candidate will be a credible lawyer with extensive experience in SEC and FCA compliance, and exceptional communication abilities, ready to make a significant impact in a rapidly growing company.

Qualifications

• Lawyer with compliance experience in SEC and FCA environments.
• Knowledge of complex asset classes and fund structures.
• Excellent communication skills and a detail-oriented approach.

Responsibilities

• Oversee global compliance for hedge funds and credit funds.
• Ensure regulatory reporting with FCA, SEC, and others.
• Draft legal documents in coordination with Fund counsel.

Skills

Compliance expertise

Regulatory knowledge (SEC, FCA)

Communication

Personnel management

Collaboration

Education

Juris Doctor (JD)

Job description

Job #1934: Chief Compliance Officer/ General Counsel - NY (5/20/2024)

Job Title

Chief Compliance Officer/ General Counsel

New York, NY

$250,000

About Us:

Following significant asset growth and strong performance, a boutique Credit focused
Investment Manager is seeking a CCO to join a high-caliber team with plenty of ambition. The business is growingrapidly so they are looking for a candidate who wants to be challenged. The person will work alongside the CFOand Co-Founder in the New York office handling both external and internal regulatory and compliance issues andassisting on legal documents in coordination with outside Fund counsel.

Responsibilities

Take over all global compliance related matters for two hedge funds, an SMA and two Private Credit funds, as well as future to be launched funds.

• Improve internal and external regulatory reporting and compliance procedures.
• Ensure timely and accurate regulatory reporting with FCA, SEC, and other regulatory bodies.
• Collaborate with the team on business initiatives, including legal and compliance aspects in evaluation of organizational priorities.
• Participate in investor and counterparty due diligence meetings.
• Draft simple legal documents in coordination with Fund counsel on behalf of the firm.

The Ideal Candidate:

Ideally a lawyer who has compliance experience in both SEC and FCA regulatory environments.

• Strong knowledge and command of all compliance and regulatory requirements of the firm.
• Experience across complex asset classes, fund structures (both on and offshore), investment strategies and instruments.
• Excellent communication and personnel management skills.
• Demonstrated ability to collaborate across the firm, including all operational and investing groups, on complex projects.
• Immediately credible and respected amongst their peers and the broader legal and financial community.
• Hands-on approach to daily business management and problem resolution; detail oriented, responsive and proactive. Fosters clarity, transparency, consistency, and widespread understanding across the business.
• Strong education, JD or equivalent preferred.

Leadership Capabilities

Unquestioned ethics and high integrity.

• Strong intellectual horsepower.
• Clear stature and gravitas to win the confidence of professionals around the firm and in the department.
• The ability to balance decisiveness and consensus; highly collaborative, curious and creative.
• A record of confident leadership, sound judgment, creativity and commitment to achieving excellence.
• Strong communication and presentation skills, both written and verbal.
• Superior interpersonal skills, with the ability to work effectively at all levels of an organization, both internally and externally.

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