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General Counsel
Consulting
provided
exceptional
service in helping
my organization
recruit for a hard
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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 > Compliance Vice President/director & Regulatory Counsel Job in California > Compliance Vice President/director & Regulatory Counsel

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YOUR WINDOW TO A WORLD OF OPPORTUNITIES

Compliance Vice President/director & Regulatory Counsel

Refer job# MWHO142383

Compliance Vice President/Director & Regulatory Counsel The candidate will be primarily responsible for advising on key regulatory issues associated with company's marketing, distribution and client services activities worldwide, specifically related to separately managed accounts and private funds. Will also work closely with Compliance and Legal colleagues. Act as primary point of contact for ad hoc private fund issues. Review fund documents for required disclosure updates, regulatory changes, etc. Propose and implement changes to private fund policies and procedures, including by delivering training to other relevant departments. Advise on regulatory considerations in connection with new institutional product launches and wind downs. Manage Form D and Blue Sky filings. Maintain records and documentation. Advise on ad hoc project proposals, including tailored marketing decks, track records and required disclosures. Advise on cross-border marketing issues, including by screening new prospects, providing guidance to the Distribution team on permitted practices and liaising with colleagues in overseas sales offices. Take lead on annual requirements, including self-examination questionnaire. Advise Distribution team of marketing restrictions and licensing requirements. Review and comment on investment management agreements for new client accounts for regulatory compliance issues. The candidate should have a JD. At least 4 to 10 years of institutional investment management-related experience at a law firm or regulator or in-house. Comprehensive knowledge of the Investment Advisers Act of 1940. Experience with fixed income and alternative investments. General understanding of NFA and CFTC issues. Strict attention to detail combined with excellent prioritization and organization skills. Results-orientation and strong internal client relationship skills; extremely thorough while demonstrating the confidence and communication skills to ensure work processes are completed accurately and appropriately. Strong problem solving skills and demonstrated ability to take initiative. Willingness to roll up sleeves to perform any and all responsibilities needed to ensure success. Must be a collaborative problem solver with a comprehensive legal and regulatory background and commercial mindset.

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