General Counsel and Chief Compliance Officer, Investment Management Counsel Jobs in New_York - 137134 | Submit Resume | General Counsel Consulting
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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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