Deputy Chief Compliance Officer & Legal Counsel

A growing investment management firm is seeking a Deputy Chief Compliance Officer & Legal Counsel to help lead its regulatory compliance and legal functions.

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This role offers the opportunity to build and enhance a compliance program as the organization moves toward SEC registration as a Registered Investment Adviser (RIA). The successful candidate will work closely with executive leadership, combining hands-on regulatory expertise with legal guidance across investment activities, private funds, and business operations.
Key ResponsibilitiesCompliance & Regulatory OversightSupport the firm's SEC investment adviser registration process, including Form ADV preparation and regulatory submissions.Build and maintain an RIA compliance program aligned with the Investment Advisers Act of 1940.Develop policies covering employee conduct, personal trading, conflicts of interest, political contributions, outside activities, and regulatory recordkeeping.Establish compliance testing, monitoring, risk assessments, and reporting procedures.Coordinate annual compliance reviews, regulatory examinations, and ongoing SEC filing obligations.Track regulatory changes and implement appropriate compliance enhancements.
Legal Advisory & Fund ManagementAdvise leadership on investment adviser regulations, fiduciary responsibilities, fund governance, and regulatory exposure.Draft, review, and negotiate advisory agreements, investment contracts, and other legal documentation.Review private fund offering materials, partnership agreements, subscription documents, and investor disclosures.Provide legal guidance on new investment products, fund launches, and business initiatives.Review marketing and investor communications for applicable regulatory requirements.Collaborate with external attorneys, auditors, and compliance advisers on legal and regulatory matters.
Governance & Business PartnershipServe as a trusted legal and compliance adviser to investment teams and senior management.Identify regulatory risks and develop practical controls that support business growth.Implement internal training, reporting standards, and governance procedures.Help establish scalable compliance processes as the investment platform expands.
QualificationsJuris Doctor (JD) from an accredited law school and active membership in good standing with a U.S. state bar.5+ years of legal and compliance experience within investment management, private funds, or alternative investments.Strong knowledge of the Investment Advisers Act of 1940, SEC regulations, and RIA compliance requirements.Direct experience establishing, managing, or improving an SEC-registered investment adviser compliance program.Hands-on experience with Form ADV, regulatory filings, compliance policies, and SEC examination preparation.Legal experience advising investment advisers, private fund managers, or alternative investment businesses.Understanding of fiduciary duties, conflicts management, investor disclosures, and fund governance.Strong drafting, communication, and stakeholder management skills. xzbcwsv Ability to work independently, take ownership of initiatives, and thrive in a growing organization.