We represent a New York-based investment advisor primarily focused on investments in private equity funds, co-investments with private equity sponsors, and investments in private credit funds looking to hire a General Counsel/Chief Compliance Officer. As head of the legal and compliance function, the GC will guide the philosophy and strategy of the organization’s legal and regulatory matters and advise on Firm-wide initiatives.
Core Responsibilities
- Corporate Legal:
- Structure, negotiate and document investment transactions including limited partnership agreements, purchase agreements, subscription agreements, side letters and confidentiality agreements.
- Manage legal aspects of processes related to private equity investments, private placement investments, and fund investments.
- Negotiate terms of participation in initial and follow-on private placements and recapitalizations of existing investments.
- Assist in operational due diligence for prospective fund investments and legal diligence on co-investment opportunities, and ongoing monitoring.
- Coordinate/oversee external legal relationships and engagements
- Compliance and Regulatory:
- Develop, maintain and oversee all regulatory compliance and all legal matters.
- Prepare and maintain the filing of the Firm’s Form ADV and the preparation and review of other regulatory filings.
- Coordinate and conduct periodic internal audits, mock audits, risk assessments, and annual compliance reviews.
- Update and maintain compliance manuals and procedures, code of ethics program and employee compliance trainings.
- Administer securities trading policies, including pre-approval of employee trades.
Role Requirements/Qualifications
- Bachelors Degree and a J.D.
- Member of New York State Bar
- 7+ years of experience as a senior legal officer, preferably in-house at an asset management firm.
- Current or recent experience working at the private funds group at a leading law firm is essential.
- Proven working knowledge of closed-ended funds, private equity funds (structuring, fund operations and fund closing matters) is essential.
- Proficiency in the Investment Advisors Act and the Investment Company Act.
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