Senior Hedge Fund Compliance Officer / Legal Counsel

Senior Hedge Fund Compliance Officer / Legal Counsel Overview

• The Senior Hedge Fund Compliance Officer / Legal Counsel will oversee legal and compliance operations, ensuring regulatory adherence and supporting firm growth initiatives.
• Collaborate with senior leadership to enhance compliance infrastructure and manage day-to-day legal matters effectively.
• Play a pivotal role in SEC regulatory matters, audits, and examinations, ensuring compliance with industry standards.
• Develop and institutionalize compliance processes, controls, and documentation to support firm scalability.
• Partner with investment teams to address compliance considerations in trading activities and portfolio management decisions.
• Conduct legal contract reviews, including vendor agreements, NDAs, and technology agreements, ensuring risk mitigation.
• Manage relationships with external legal counsel, compliance consultants, and service providers for seamless operations.
• Assist with compliance testing, employee training, risk assessments, and regulatory filings to maintain operational integrity.
• Contribute to strategic initiatives and complex legal matters, driving firm growth and operational excellence.

Senior Hedge Fund Compliance Officer / Legal Counsel Key Responsibilities & Duties

• Manage and enhance the firm’s compliance program across a long/short equity investment platform.
• Serve as a key point of contact for SEC regulatory matters, audits, and compliance inquiries.
• Oversee policies and procedures related to trading, MNPI, personal trading, and regulatory filings.
• Partner with investment teams on compliance considerations for trading activity and new strategies.
• Conduct legal contract reviews, ensuring compliance and identifying potential risks.
• Coordinate with external legal counsel and compliance consultants for specialized matters.
• Assist with ADV updates, compliance testing, annual reviews, and employee training programs.
• Develop and institutionalize compliance processes and controls to support firm scalability.
• Collaborate with senior management to address strategic initiatives and complex legal matters.

Senior Hedge Fund Compliance Officer / Legal Counsel Job Requirements

• Juris Doctor (JD) degree with 3–6 years of relevant experience in investment management compliance or financial services law.
• Strong understanding of the Investment Advisers Act and SEC expectations for private funds.
• Experience reviewing and negotiating contracts, agreements, and legal documents preferred.
• Ability to operate independently in a lean, entrepreneurial environment with strong judgment and communication skills.
• Proven ability to work directly with senior investment professionals and manage compliance operations effectively.
• Familiarity with compliance testing, employee training, risk assessments, and regulatory filings.
• Experience managing relationships with external legal counsel and compliance consultants.
• Demonstrated expertise in developing and institutionalizing compliance processes and controls.
• Strong judgment and ability to address strategic initiatives and complex legal matters.