Job Details

General Counsel / Chief Compliance Officer

Company name
Confidential

Location
Seattle, WA, United States

Employment Type
Full-Time

Industry
Compliance

Posted on
Jul 12, 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

Similar Jobs:
Apply on the Company Site COMPLIANCE PROGRAM ADMINISTRATIVE COORDINATOR Req #: 191463 Department: SCHOOL OF MEDICINE Job Location: South Lake Union Posting Date: 07/27/2021  Closing Info: Closes On   08/10/2021 Salary: $3,320 - $4...
Information Security and Compliance Specialist- CorpSec (Remote Eligible)Smartsheet is redefining how the world manages and tracks work, serving over 95,000 customers across more than 190 countries. Trust is one of our core values...
Smartsheet is redefining how the world manages and tracks work, serving over 95,000 customers across more than 190 countries. Trust is one of our core values, and as an organization, we build that core value by maintaining and imp...
EmploymentCrossing was helpful in getting me a job. Interview calls started flowing in from day one and I got my dream offer soon after.
Jeremy E - Greenville, NC
  • All we do is research jobs.
  • Our team of researchers, programmers, and analysts find you jobs from over 1,000 career pages and other sources
  • Our members get more interviews and jobs than people who use "public job boards"
Shoot for the moon. Even if you miss it, you will land among the stars.
EmploymentCrossing - #1 Job Aggregation and Private Job-Opening Research Service — The Most Quality Jobs Anywhere
EmploymentCrossing is the first job consolidation service in the employment industry to seek to include every job that exists in the world.
Copyright © 2021 EmploymentCrossing - All rights reserved. 169 192