Job Details

General Counsel / Chief Compliance Officer

Company name

Confidential

Organization Type

Law Firm

Job Type

Attorney

Date Last Verified

Sep 14, 2021

Posted on

Jul 12, 2021

Location

Seattle, WA, United States

Employment Type

Full-time

Industry

Legal
Apply Later   Employer Sponsored Job (Free to apply to)
 
15 hits

Profile

Long-established, multi-billion dollar investment firm in search of General Counsel/Chief Compliance Officer to be based in Seattle, Washington. The GC/CCO will be responsible for all legal and compliance matters at the firm, including regulatory, tax, management company/funds, commercial contracts, employment, investor relations, and international issues.

The ideal candidate will possess attributes that allow them to fulfill the following responsibilities:

Compliance

  • Develop, implement, monitor and maintain the compliance program including policies and procedures
  • Undertake a review/audit of all current compliance systems, processes and manuals
  • Serve as primary point of contact for regulatory agencies and manage process for timely and accurate regulatory compliance filings
  • Conduct and/or coordinate compliance trainings for employees
  • Advise on compliance implications of the firm’s entry into new markets, new product launches, and development of new trading strategies
  • Lead annual risk assessment and review, including periodic SEC mock audits
  • Review the development and maintenance of investor relations, due diligence and marketing materials
  • Monitor and keep current on ever-evolving regulatory/compliance environment to ensure ongoing compliance
  • Attend relevant conferences, lectures, classes to keep up with industry developments and best practices

Legal

  • Advise the Chairman and management team on all company legal-related issues
  • Draft, review and advise on all new and existing commercial contracts including NDAs, employment agreement, ISDAs, counterparty and vendor contacts, and investment agreements, etc.
  • Update and maintain fund offering documents and limited partnership agreements
  • Support investor relations team with regulatory, structuring and legal document review as it relates to new business relationships
  • Negotiate legal terms for various contracts across functions
  • Maintain solid knowledge of firm’s operations and relevant activities
  • Monitor relevant pending/emerging legislation and regulations in the U.S. and in Asia and keep business teams apprised of developments
  • Anticipate long-term needs of the organization and identify potential legal risks and proactively recommend solutions and risk mitigation strategies
  • Review practices with regards to employment law in the U.S. and in Asia
  • Effectively and efficiently manage relationships with outside counsel including regulatory, employment, tax, cybersecurity, immigration, IP, etc.
  • Be a utility player, tackling a variety of special ad-hoc projects across the firm as needed

Qualifications

  • A licensed attorney with 7-10 years total experience, with at least 3 years’ experience in a senior compliance role at a private investment fund
  • Knowledge of the securities/investment regulatory environment in Asia, especially Hong Kong and China
  • Ability to work in an entrepreneurial, fast paced environment and provide strategic leadership and counsel as the firm continues to scale
  • Excellent problem solving and communication skills with the ability to deliver clear recommendations in support of the firm’s business objectives
  • Ability to think through complex regulatory issues and translate legal language into easily understandable communique
  • Ability to interact with internal and external stakeholders, discerning when/whom to incorporate into different projects and when to bring in outside counsel
  • Excellent judgment, particularly as it relates to managing and mitigating business risks
  • Possessing unquestionable ethics and personal integrity

Company info

Confidential

   

Similar Jobs Near Me:


Location
Seattle, WA
Experience the prestige and challenge of Fortune 500 companies including dot coms, while enjoying the sunny lifestyle of the Southwest at this very busy, larger firm. Well-reputed in intellectual property, civil and securities litigation and corporate transactional practices, it is always striving towards excellence and professionalism in its associates, and actively encourages new associates to delve into responsible roles as soon as possible. R...
Location
Seattle, WA
Law Firm Staff brings you up to date and high quality legal staff openings in law firms and in-house legal departments of business organizations. In addition, we help solo attorneys hire experienced personnel from the legal industry. We not only have the best law firm staff positions, but we also have the most. Associate Attorney The candidate must be an experienced and highly motivated associate-level attorney to join the insurance coverage and ...
Location
Seattle, WA
This large, rapidly growing, full-service law firm is making big strides in the global realm of telecommunications, e-commerce and dot coms in addition to having a very notable practice in international commerce, corporate and contract litigation. It is located in the Pacific Northwest with branches in the West and in Washington DC. Associates are encouraged to pursue community involvement to enhance their well-rounded approach to law and life. ...
Location
Seattle, WA
Law Firm Staff brings you up to date and high quality legal staff openings in law firms and in-house legal departments of business organizations. In addition, we help solo attorneys hire experienced personnel from the legal industry. We not only have the best law firm staff positions, but we also have the most. Family Law Staff Attorney The candidate should have strong research and writings skills as well as a practical knowledge in Family Law. M...
SPONSORED JOB
Location
Seattle, WA
Long-established, multi-billion dollar investment firm in search of General Counsel/Chief Compliance Officer to be based in Seattle, Washington. The GC/CCO will be responsible for all legal and compliance matters at the firm, including regulatory, tax, management company/funds, commercial contracts, employment, investor relations, and international issues. The ideal candidate will possess attributes that allow them to fulfill the following res...


Company Profile

Confidential

Everyone Loves LawCrossing

LawCrossing has the most listings of any job board I have used. It's actually a great site. The website had a lot of detail. It’s nice that you don't have to go through a recruiter if you don't want to. You can actually contact the law firm directly for the positions listed. LawCrossing had a ton of great features.
  • Brian McMillan San Francisco, CA
+ Read More Success Stories
  • All we do is research jobs
  • Our team of researchers, programmers, and analysts find you jobs from over 50,000 career pages and other sources
  • Our members get more interviews and jobs than people who use "public job boards"