Senior Hedge Fund Compliance Officer / Legal Counsel
green key resourcesBrooklyn, NY
Senior Hedge Fund Compliance Officer / Legal Counsel
L5
green key resourcesBrooklyn, NYyesterday
Industries
Investment Banking and Securities IntermediationMiscellaneous Financial Investment ActivitiesPortfolio Management and Investment AdviceJob Detail Experience Level Associate Director Degree Type Juris Doctor (JD) Employment Full Time Working Type On SiteJob Reference 0000020276 Salary Type Annually Industry Hedge Fund Selling Points Lead impactful compliance operations in a dynamic investment environment. Collaborate with senior leadership on strategic initiatives and legal matters. Enhance your expertise in SEC regulations and compliance processes.
Job Description:
- Senior Hedge Fund Compliance Officer / Legal Counsel Overview
- The Senior Hedge Fund Compliance Officer / Legal Counsel will oversee legal and compliance operations, ensuring regulatory adherence and supporting firm growth initiatives.
- Collaborate with senior leadership to enhance compliance infrastructure and manage day-to-day legal matters effectively.
- Play a pivotal role in SEC regulatory matters, audits, and examinations, ensuring compliance with industry standards.
- Develop and institutionalize compliance processes, controls, and documentation to support firm scalability.
- Partner with investment teams to address compliance considerations in trading activities and portfolio management decisions.
- Conduct legal contract reviews, including vendor agreements, NDAs, and technology agreements, ensuring risk mitigation.
- Manage relationships with external legal counsel, compliance consultants, and service providers for seamless operations.
- Assist with compliance testing, employee training, risk assessments, and regulatory filings to maintain operational integrity.
- Contribute to strategic initiatives and complex legal matters, driving firm growth and operational excellence.
- Senior Hedge Fund Compliance Officer / Legal Counsel Key Responsibilities & DutiesManage and enhance the firm’s compliance program across a long/short equity investment platform.
- Serve as a key point of contact for SEC regulatory matters, audits, and compliance inquiries.
- Oversee policies and procedures related to trading, MNPI, personal trading, and regulatory filings.
- Partner with investment teams on compliance considerations for trading activity and new strategies.
- Conduct legal contract reviews, ensuring compliance and identifying potential risks.
- Coordinate with external legal counsel and compliance consultants for specialized matters.
- Assist with ADV updates, compliance testing, annual reviews, and employee training programs.
- Develop and institutionalize compliance processes and controls to support firm scalability.
- Collaborate with senior management to address strategic initiatives and complex legal matters.
- Senior Hedge Fund Compliance Officer / Legal Counsel Job Requirements
- Juris Doctor (JD) degree with 3–6 years of relevant experience in investment management compliance or financial services law.
- Strong understanding of the Investment Advisers Act and SEC expectations for private funds.
- Experience reviewing and negotiating contracts, agreements, and legal documents preferred.
- Ability to operate independently in a lean, entrepreneurial environment with strong judgment and communication skills.
- Proven ability to work directly with senior investment professionals and manage compliance operations effectively.
- Familiarity with compliance testing, employee training, risk assessments, and regulatory filings.
- Experience managing relationships with external legal counsel and compliance consultants.
- Demonstrated expertise in developing and institutionalizing compliance processes and controls.
- Strong judgment and ability to address strategic initiatives and complex legal matters.
Apply now (opens in a new tab)
Level
SeniorL5
Location
Brooklyn, NY
Occupation
Compliance Managers
Industry
Investment Banking and Securities Intermediation
Posted
yesterday
To get sharper similar jobs, create your profile using the link below.