Legal Counsel

Our client, a startup hedge fund with a tremendous pedigree, has a newly created Associate Compliance Counsel opportunity. As the first fully dedicated compliance professional, this new hire will report into the dual COO/CCO and take ownership over the execution and management of the full compliance program and aid on legal matters. Given the startup nature of the business, it is imperative to find an entrepreneurial spirited, well-rounded, and intellectually curious individual to play a key role in managing the firm's compliance program. Key Points: Excellent chance for career progression and advancement, working in an entrepreneurial environment with ample opportunity to assume greater responsibilities as the firm matures Report directly into the COO/CCO, who wants to invest into this new hire Opportunity to be involved in all areas of legal and compliance as a true generalist, leveraging resources from a third party compliance consultant Individual will manage the legal and compliance functions with an emphasis on continued learning through conference and seminar attendance Chance to contribute significantly to both the firm and the team holistically Responsibilities: Review, manage, update and execute upon all aspects of the firm's compliance manual and Code of Ethics Stay abreast of regulatory changes to modify and adhere the firm's practice to stay in compliance Manage all aspects of expert network calls: perform due diligence on investment research providers, onboard and integrate expert networks, approve experts for calls, and chaperone calls Performing regular assessments, including vendor diligence, trade surveillance, expense reviews, political contributions, gifts and entertainment, and research practices Managing the firm's annual compliance review and regularly communicating with employees on compliance related matters Prepare regulatory filings and maintain the compliance calendar Collaborating with external compliance consultants and vendors on matters Address any legal issues that arise ranging from corporate, fund formation, human resources, to regulatory Qualifications: J.D. required 1.5-2.5 years of experience working in a compliance consulting role or directly at a hedge fund Proficiency with a compliance software program is advantageous Optimistic, proactive, and open to evolving the role based on the needs of the firm Willingness to work in a fast-paced environment with the desire to take on additional responsibilities with time Compensation Expectations:  $120-150k base #J-18808-Ljbffr

Created: 2025-01-14