Chief Compliance Officer / Associate General Counsel
Locations: Dallas, TX or Wilmington, DE
Our client is a leading and highly ranked Multi-Family Office (RIA) with an established foundation across the US and developing presence across Europe. Due to continued growth and expansion, they are looking to add a key member to their Legal / Compliance team.
Reporting into the Chief Operating Officer/General Counsel, the Chief Compliance Office / Associate General Counsel will be responsible for oversight of the Firm’s compliance programs and assisting with counsel functions such as contract negotiations, fund formations, and employment law. The ideal candidate will provide legal guidance and review to internal stakeholders and provide instrumental support to the COO/General Counsel on special projects. The Associate General Counsel will work in a collaborative environment with unlimited opportunities to build out his/her role and make an impact within the firm.
Chief Compliance Office / Associate General Counsel Requirements:
- Bachelor’s degree and Juris Doctor required.
- Wealth/Investment Management experience with current experience in the Financial Services industry.
- Oversight of regulatory compliance within a BD/Wealth Manager/Investment firm. (non-branch).
- 8-10 years of relevant AGC/Compliance experience.
- Private practice & in-house experience.
- Strong communication skills and executive presence.
Chief Compliance Office / Associate General Counsel Rewards:
- Rapidly growing and well-established organization.
- High visibility to Executive Leadership with opportunities to expand the position and continued professional development.
- Opportunities to build out the legal team as the firm continues to grow and the GC’s role expands.
- Competitive base, bonus, and comp structure with excellent benefits.
- Rewarding culture and team within a client focused, family-oriented firm.
Chief Compliance Office / Associate General Counsel Responsibilities:
- 50/50 Compliance / General Counsel responsibilities.
- Lead the Compliance team and oversee firm-wide compliance programs.
- Partner with various internal teams within Advisory, Legal, Operations to recognize/resolve issues that arise and conflicts of interest.
- Oversee and manage regulatory requests and manage on-site examinations.
- Oversight of regulatory requirements; keep abreast of changes in regulatory administrations in multiple states and implement necessary changes to compliance practices and policies.
- Review and negotiate legal documents on behalf of the firm, including non-disclosure, investment advisory and vendor agreements.
- Lead projects surrounding the enhancement of compliance polices, protocol and internal controls and continually identify potential areas of compliance vulnerability.
- Continual “brainstorming” surrounding new opportunities for firm expansion, innovation, and training.
- Maintain partnerships with key individuals in offices across the U.S., including regular travel to establish and foster relationships. (post-Covid).