Vp General Counsel And Chief Compliance Officer

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VP, General Counsel and Chief Compliance Officer
Duties: Act as the principal legal advisor to executives and the company on all legal and regulatory matters. Provide thought leadership to the Investments deal team regarding the sponsor vetting and review process, including all transactional functions, general contract, and sponsor evaluation matters. Support the development of new investment products and services. Produce thought leadership content (both sponsor and investor facing) on how to produce and review online investor documents. Review Sponsor offering and governance documents, including, but not limited to, private placement memorandum, operating agreements, and subscription agreements to ensure conformance with marketplace standards, continuity and alignment with other Sponsor offering documents. Manage all external counsel and compliance consultant relationships, including spend and overall departmental budget. Partner with the CFO/CCO to strengthen internal controls, establish a comprehensive risk management framework, and improve the company’s operational velocity. Responsible for administrative and governance matters relating to the Board of Directors and related committees. Partner with Finance and People Operations for initiatives related to legal entities, tax structures, real estate and employment. Provide guidance to the People Operations team on employment matters and collaborate on various employment agreements. Represent the company in support of federal and state regulators. Continuously stay up to date with changes to regulations, promulgating updates/changes to the organization. Provide effective challenge and oversight to the implementation and adherence to all policies, legal and regulatory requirements. Define, develop and disambiguate control requirements based on authoritative sources. Work alongside departments and key leaders to support the development of marketing, advertising and any publicly facing material to ensure adherence to laws, regulations and corporate policies. Work cross-departmentally to educate staff on Sponsor related matters.

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