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Job Details

General Counsel/Chief Compliance Officer

Company name
Confidential

Location
Seattle, WA, United States

Employment Type
Full-Time

Industry
Legal

Posted on
Sep 26, 2021

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

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