General Counsel/ Chief Compliance Officer
The General Counsel/ Chief Compliance Officer will have legal and compliance responsibilities for the firm and two firm hedge funds with emphasis on team-work approach.
Although the firm is over 50 years old it is mid-sized. Accordingly, the GC/CCO is a very “hands on” position. The person will be intimately involved with all daily legal and compliance activities with only a very small staff.
This position is ideal for an Attorney with compliance experience that seeks to take their career to the next level and have the type of responsibilities and experience that is hard to achieve at a larger organization.
Responsibilities
• Advise and supervise firm on securities issues arising under all applicable regulations relating to advisory and broker-dealer businesses, proprietary trading, and institutional and retail client account issues
• Advise firm on organizational structure and employment issues
• Manage firm’s relations with outside law firms
• Monitor firm, employee and client trading accounts
• Legal, regulatory and supervisory requirements for Investment Advisory, AML, BCP, Internal Control and options trading, including testing and documentation
• Conduct all regulatory filings, including BD, ADV, 13G/13D, etc.
• Serve as point of contact, along with CFO, on SRO audits including sales practice
• Advise, negotiate and draft firm contracts, including vendor agreements
• Supervise and update internal policies and procedures to ensure compliance with applicable regulatory law, including WSP and IA policies and procedures
• Oversee outside counsel on litigation and transactional work
Required Skills
• Juris Doctor, member of NY Bar
• Must have or be able to pass FINRA Series 4, 7, 14, 24, 53 and 63 exams
• 5+ years financial regulatory compliance experience, broker dealer experience a plus
Total compensation package may be in the $200-300k range.
To apply please submit your resume to Jack Kelly – JKelly@compliancesearch.com
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