Head of Legal & Compliance recruitment
My firm is conducting a search for a Head of Legal and Compliance for a NY based Wealth Management Company. The role requires deep expertise in the legal structure, sales, and marketing of investment services through an RIA network. The role will provide legal and compliance counsel internally regarding operations, vendor and client relationships, securities law and regulation; as well as broader business issues. The role also requires strategic review, design and implementation of operational enterprise risk and compliance programs. Experience managing the legal and compliance function for a RIA business is essential. This would include the candidate holding a JD, as well having experience in securities law, corporate law, fund formation, compliance (including all the regulatory filings), fiduciary oversight, the impact of Dodd Frank on RIA’s, and risk mitigation. Series 24 highly desirable.