Legal & Compliance Director - RIA

JCW Group; New York (NY); On-site; USD 180,000 - 320,000; Full time

Job summary

JCW Group, in partnership with a leading global asset manager, seeks a Director within Legal & Compliance to support the firm's alternative investment platform, advising on fund launches and ongoing regulatory matters.

This role suits an attorney who has moved into in-house compliance or consulting, with 8–15 years of experience, strong fund formation doc experience, and practical SEC/Investment Advisers Act knowledge.

Qualifications

• JD with investment funds, asset management or financial regulatory law background.
• 8–15 years of relevant experience.
• Career path from private practice to in-house compliance or consulting.

Responsibilities

• Advise on compliance for new fund launches and product development.
• Review fund formation docs (PPMs, LPAs, subscription agreements).
• Work with Legal during fund formation to reflect regulatory obligations.
• Provide guidance on SEC and Investment Advisers Act requirements for private funds.
• Review marketing materials and investor communications for regulatory alignment.
• Act as advisor to senior stakeholders across Legal, Investments, Product and Distribution.
• Support regulatory exams, compliance projects and strategic initiatives.

Skills

Compliance advice

Fund formation

Regulatory knowledge

Stakeholder management

Education

Juris Doctor (JD) with fund/regulatory experience

Job description

JCW is partnering with a leading global asset manager to appoint a Director within its Legal & Compliance function. This is a highly visible position supporting the firm's alternative investment platform, working closely with Legal, Product, Investment and Investor Relations teams on new fund launches and ongoing regulatory matters.

This is an excellent opportunity for someone who started their career as an attorney—whether in Investment Funds, Asset Management or Financial Regulatory law—and has since transitioned into a compliance role, either in-house or within a consulting environment.

What you'll be responsible for

• Advising on the compliance aspects of new fund launches and product development initiatives.
• Reviewing and providing input on fund formation documentation, including Private Placement Memorandums (PPMs), Limited Partnership Agreements (LPAs), subscription agreements and related offering materials.
• Partnering closely with Legal throughout the fund formation process to ensure regulatory obligations are appropriately reflected within documentation.
• Providing practical advice on SEC and Investment Advisers Act requirements affecting private investment funds.
• Reviewing marketing materials, investor communications and product disclosures from a regulatory perspective.
• Acting as a trusted advisor to senior stakeholders across Legal, Investments, Product and Distribution.
• Supporting regulatory examinations, compliance projects and broader strategic initiatives across the business.

What we're looking for

• Juris Doctor (JD) with prior legal experience in Investment Funds, Asset Management or Financial Regulatory law.
• Approximately 8–15 years' relevant experience.
• A career path that began in private practice before moving into an in-house compliance or compliance consulting role.
• Strong experience reviewing and advising on fund formation documents, including PPMs, LPAs and other private fund offering documentation.
• Working knowledge of the Investment Advisers Act, SEC regulations and the private funds regulatory landscape.
• Experience supporting private equity, private credit, infrastructure, real estate or hedge fund products is highly desirable.
• Strong commercial judgement with the ability to provide pragmatic, business-focused compliance advice.