General Counsel & CCO
 Boston, MA
Highly Competitive compensation
Full Time Employment
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General Counsel & Chief Compliance Officer

 

Responsibilities:

  • Draft and negotiate agreements and other documents with investors including fund offering materials
  • Draft and negotiate agreements with counterparties including Brokers, Administrators, Custodians and other third party service providers including ISDAs and other documents
  • Advise firm management on all legal matters related to the business, including: 
            assistance with due diligence reviews, negotiation and implementation of investments,                     monitoring and addressing changes in legal and regulatory conditions affecting the firm's                 investments or investors, and support of finance, operations and accounting teams
  • Advise firm management and staff on a wide range of investment management, securities law issues, and compliance-related matters
  • Design and oversee all components of the firm's compliance program including development and implementation of compliance manuals, timely and accurate regulatory reporting and monitoring of all risks and requirements.  Develop and implement all compliance-related documents (e.g., Compliance Manual, Code of Ethics, Disaster Recovery, Personal Security/Insider Trading, Privacy Policy)
  • Conduct testing and monitoring of business activities, including the annual compliance audit to ensure compliance with regulations and internal policies and procedures.
  • Manage registration and filings for the firm and its personnel with appropriate regulatory agencies (e.g., SEC, FINRA) and serve as primary contact with regulators during exams and inquiries. Update and maintain all regulatory registrations.
  • Maintain thorough understanding of federal securities rules and regulations governing the investment advisory process and provide ongoing advice/training to employees with respect to legal and compliance matters
  • Work effectively with outside counsel and manage special projects as necessary

Requirements:     

  • JD and admission to Massachusetts Bar
  • Minimum 10 years' experience representing private investment funds and investment advisers, including at least 3 years of law firm experience
  • Extensive knowledge of the Investment Advisors Act, SEC, FINRA and other SRO rules
  • Broad relevant transactional expertise a plus, including experience with structured products, distressed debt, bank loans and derivatives
  • Able to generate creative solutions to resolve highly complex transactional issues
  • Able to handle a wide-range of corporate and regulatory matters
  • Able to work cooperatively with all members of the firm
  • Excellent communication and interpersonal skills
  • Excellent drafting and negotiation skills
  • Ability to develop good relationships with outside counsel, industry peers, and regulators