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General Counsel
Consulting
provided
exceptional
service in helping
my organization
recruit for a hard
to fill position.
They did extensive
work on the front
end to understand
our needs and
our culture and
began referring
highly qualified
candidates almost
immediately.

Melinda Burrows
Deputy General Counsel
- Litigation and
Compliance, Progress
Energy Service Company
LLC

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Counsel Jobs > General Counsel and Chief Compliance Officer, Investment Management Job in New York > General Counsel and Chief Compliance Officer, Investment Management

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General Counsel and Chief Compliance Officer, Investment Management

Refer job# IPZX137134

General Counsel and Chief Compliance Officer, Investment Management The candidate will provide counsel and serve as liaison with internal and outside counsel on drafting and review on a variety of matters such as offering documents, Investment Management Agreements, LP/LLC Agreements, ISDAs, formation documents, and vendor agreements. The AIM GC/CCO will also be responsible for continued development, implementation, improvement, maintenance, and monitoring of all AIM related compliance requirements. Will also serve as the senior member of the team responsible for interacting with others both within the organization, as well as with regulators, investors, and prospective investors, on general legal matters and items specific to the AIM compliance program. Requires a Bachelor s degree from an accredited college. Should have JD degree from an accredited institution is required with a record of strong academic and professional achievement. Admitted to practice before a U.S. state bar association required. Investment Advisers Act of 1940 and other investment management or securities law experience is essential. Should have 7+ years of relevant work experience in a compliance / regulatory role. Previous experience overseeing a compliance program within a substantial RIA environment is essential. Should have experience with MNPI controls and procedures, and a clear philosophy on how to best manage concerns around MNPI. Must have experience in negotiating and drafting contracts, legal memoranda, and other agreements at an investment management firm.

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