Counsel And Chief Compliance Officer

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Counsel and Chief Compliance Officer
Duties: Be a key part of the leadership team, offering advice to the firm’s principals from a legal, regulatory, and compliance perspective. Work with senior leaders and outside counsel to register Newco as an investment advisor and broker/dealer, and be responsible for all ongoing and annual regulatory updates and filings. Work with senior leaders and outside counsel to register Newco’s fund of funds on Form N-2 and be responsible for ongoing legal work related to the funds, including annual updates of fund registration statements, shareholder reports, and other regulatory fund updates and filings. Provide advice, direction, and guidance on all legal and compliance aspects of the business, including assessing proposed regulations for impact on the business and developing and implementing policies and procedures to address relevant changes. Work with senior leaders to manage the fund and corporate board and committee meetings, including agenda setting, board materials, and minutes. Draft, negotiate and review various types of agreements, including participation, distribution and services agreements and vendor contracts for services supporting the firm and its funds. Serve as Advisor Chief Compliance Officer, develop policies and procedures, manage a compliance monitoring program, conducted testing, and issue an annual compliance report. Implement and oversee the Firm’s Code of Conduct and Ethics, including its personal trading policy. Review marketing and sales materials, DDQs, and other intermediary-related documents to ensure consistency and compliance with applicable laws and regulations. Lead regulatory inspections, examinations, and reviews. Serve as Chief Compliance Officer for the limited purpose broker/dealer, and oversee its compliance program and regulatory filings, including implementation of written supervisory procedures, policies, training, annual testing, and AML/OFAC compliance and the firm’s FINRA Gateway filings (i.e. Forms BR, BD, U4s, U5). Manage and oversee legal budget and outside counsel.

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