Chief Compliance and Legal Officer

Chief Compliance and Legal Officer About the Company Top-tier investment management firm Industry Investment Management Type Privately Held About the Role The Company is looking for a dynamic Chief Compliance and Legal Officer to spearhead its compliance initiatives while providing comprehensive legal guidance on regulatory, operational, and corporate matters. This pivotal role involves crafting, implementing, and managing a robust compliance program to ensure compliance with all applicable regulations established by the SEC, CFTC, NFA, and other regulatory entities. The successful candidate will oversee the development and revision of policies and procedures, execute monitoring and testing protocols, and manage all regulatory filings and inquiries. In addition to compliance oversight, the Chief Compliance and Legal Officer will offer legal insights related to investment management, trading, marketing, and various operational challenges, while aiding risk management efforts and liaising with external legal counsel when necessary. To be considered for this role, candidates must possess a JD from a prestigious law school, be admitted to a U.S. state bar (New York preferred), and have at least 10 years of relevant legal and compliance experience in an investment adviser, hedge fund, asset management firm, or regulatory agency. A deep understanding of financial regulations, particularly the Investment Advisers Act of 1940, the Securities Exchange Act of 1934, and CFTC/NFA regulations, is crucial. The ideal candidate will demonstrate a successful history of establishing and executing compliance programs, exhibit excellent communication skills, and maintain the ability to engage effectively with senior management, investors, and regulators. A detail-oriented, strategic thinker with outstanding problem-solving and leadership capabilities is essential for this influential position. Travel Percent Less than 10% Functions Legal