Corporate - Compliance Attorney in Cleveland, OH

Profile

Counsel and Chief Compliance Officer Duties: Be a key part of the leadership team, offering advice to the firm’s principals from a legal, regulatory, and compliance perspective. Work with senior leaders and outside counsel to register Newco as an investment advisor and broker/dealer, and be responsible for all ongoing and annual regulatory updates and filings. Work with senior leaders and outside counsel to register Newco’s fund of funds on Form N-2 and be responsible for ongoing legal work related to the funds, including annual updates of fund registration statements, shareholder reports, and other regulatory fund updates and filings. Provide advice, direction, and guidance on all legal and compliance aspects of the business, including assessing proposed regulations for impact on the business and developing and implementing policies and procedures to address relevant changes. Work with senior leaders to manage the fund and corporate board and committee meetings, including agenda setting, board materials, and minutes. Draft, negotiate and review various types of agreements, including participation, distribution and services agreements and vendor contracts for services supporting the firm and its funds. Serve as Advisor Chief Compliance Officer, develop policies and procedures, manage a compliance monitoring program, conducted testing, and issue an annual compliance report. Implement and oversee the Firm’s Code of Conduct and Ethics, including its personal trading policy. Review marketing and sales materials, DDQs, and other intermediary-related documents to ensure consistency and compliance with applicable laws and regulations. Lead regulatory inspections, examinations, and reviews. Serve as Chief Compliance Officer for the limited purpose broker/dealer, and oversee its compliance program and regulatory filings, including implementation of written supervisory procedures, policies, training, annual testing, and AML/OFAC compliance and the firm’s FINRA Gateway filings (i.e. Forms BR, BD, U4s, U5). Manage and oversee legal budget and outside counsel.

Qualification and Experience

Qualifications: Law degree from an accredited institution. License to practice law and a member of good standing. Should have 15-20 years of legal or compliance experience with 10+ years of investment management experience. Experience with writing, maintaining, and revising policies and procedures. Experience with implementing control enhancements and operational efficiencies. Advanced communication skills, both verbal and written, with the ability to express oneself clearly and influence effectively, with all levels of an organization. Ability to think strategically with sharp analytical skills and strong attention to detail and accuracy. Ability to work independently, and within a geographically dispersed team while running multiple sophisticated projects. Ability to identify and solve sophisticated issues in a team environment working with various levels of management and business partners.

Additional info

Job ID: 2022-2076

Company info