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Chief Compliance Officer, Counsel
Refer job# RBSB146056
 
Chief Compliance Officer, Counsel The candidate serve as the Chief Compliance Officer and Counsel for real estate investment advisory firm registered with the United States Securities and Exchange Commission dedicated to investing private equity funds in real estate and real estate related investments. Role reports to the Americas General Counsel and will play a key leadership role in the firm. The lawyer fulfilling the role of the CCO will be expected to provide end-to-end compliance oversight of the compliance program, and in doing so will partner with the firm s senior executives to ensure the firm s compliance program remains robust and functional. In addition to the CCO responsibilities, will be expected to provide legal and regulatory advice to the firm s internal clients, which would include advising on client contract provisions, negotiating contracts and responding to requests to assist on client correspondence. Developing and enforcing appropriate policies and procedures for the firm to ensure compliance with applicable securities laws and regulations. Completing and filing all Investment Adviser related SEC-filings, including Form ADV and Form PF. Perform compliance-based audits on the advisory businesses. Conduct internal training and information sessions. Prepare and present compliance program to external clients. Work with client teams on marketing reviews. Identify risks and conflicts in current business structure and as new initiatives arise. Leverage and manage existing technology solutions to fulfill compliance responsibilities. Identify new technology solutions to facilitate and implement legal and compliance initiatives; manage organizational structure sufficiently to successfully implement the compliance program. Advise and counsel internal clients with respect to operational, compliance and legal issues, as well as contract interpretation and implementation. Provide legal review of and negotiate third party general commercial contracts. Research issues and document position as needed to support advice and conclusions on issues. Manage legal issues connected with firm s private equity funds. Employ strategic use of outside counsel when required, and oversee their work. Liaise with external clients on due diligence inquiries and general contract related requirements and participate in presentations on the Firm s compliance and legal structure and programs.

The candidate must possess a law degree from a top-tier law school. Should have strong knowledge of the following: Investment Advisers Act of 1940; Private equity industry. Must have working knowledge of the following: Securities Act of 1933; Investment Company Act of 1940; Institutional real estate investment industry. Must be licensed to practice law in at least one U. S. state. Should have 5+ years law firm or in-house experience supporting and advising registered investment advisors, preferably those with a private equity arm. Experience with and understanding of the types of commercial agreements that are generally seen in a securities-regulated business is required. Must have ability to work closely with and across business units, and effectively communicate guidance both in written and through face to face interactions. Very strong communication, writing and interpersonal skills essential.
 
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