General Counsel & Chief Compliance Officer An investment management organization is seeking an experienced attorney and compliance professional to lead its legal and regulatory compliance functions. This executive will serve as the organization s primary legal advisor while maintaining responsibility for the compliance program applicable to a registered investment adviser. The position requires someone who can operate at both the strategic and execution levels. The successful candidate will advise leadership on significant legal and regulatory matters while remaining directly involved in filings, contracts, policies, examinations, testing, and other day-to-day responsibilities. RESPONSIBILITIES Investment Adviser Compliance Serve as the senior officer responsible for the organization s investment adviser compliance program.Maintain and continually enhance policies, procedures, supervisory controls, and the Code of Ethics.Lead the annual review of the compliance program and coordinate required documentation and reporting.Manage regulatory filings, including Form ADV, Form CRS, and other applicable submissions.Oversee compliance requirements involving personal securities transactions, conflicts of interest, gifts and entertainment, political activity, and outside business interests.Lead interactions with the SEC, including examinations, information requests, and other regulatory inquiries.Monitor regulatory developments affecting investment advisers and translate new requirements into appropriate policies and controls.Oversee compliance monitoring, testing, risk assessments, and remediation activities.Develop and deliver compliance education and training across the organization.Provide compliance guidance regarding marketing, advertising, client communications, and other regulated activities. Legal & Commercial Advisory Act as the primary legal resource for senior management and business teams.Draft, review, and negotiate a broad range of commercial and investment-related agreements.Handle documentation involving investment advisory relationships, vendors, technology providers, confidentiality arrangements, employment matters, and other service providers.Advise leadership on securities regulation, fiduciary responsibilities, corporate matters, privacy, cybersecurity, employment issues, and potential disputes.Provide legal support for new investment products, business initiatives, partnerships, and other strategic opportunities.Coordinate legal due diligence associated with transactions and strategic projects.Select and manage outside counsel when specialized expertise is required and oversee related legal expenses. Governance & Risk Advise senior leadership and governing bodies on material legal, compliance, and governance matters.Prepare regulatory and compliance reporting for executive and governance-level review.Maintain appropriate corporate and governance documentation.Identify emerging legal, regulatory, and operational risks and develop practical approaches for addressing them.Provide oversight or guidance concerning applicable AML, sanctions, privacy, cybersecurity, and third-party requirements.Evaluate legal and compliance considerations associated with vendors and other external relationships. Business Partnership Work closely with investment, operations, finance, technology, HR, and other internal teams.Provide practical guidance that enables business objectives while maintaining appropriate regulatory and fiduciary standards.Support the evaluation and launch of new products and services.Assist with client onboarding and institutional due diligence requests.Help improve legal and compliance processes through technology, automation, and stronger operating practices. Required Background Juris Doctor (JD) from an accredited law school.Active and in good standing with at least one U.S. State bar.8+ years of relevant legal and/or compliance experience involving registered investment advisers, investment management, asset management, wealth management, securities law, or closely related areas.Deep understanding of the Investment Advisers Act of 1940, SEC requirements, Form ADV, Code of Ethics obligations, and investment adviser fiduciary standards.Direct experience managing or playing a significant leadership role in SEC examinations.Strong commercial contract drafting, review, and negotiation capabilities.Ability to communicate effectively with executives, investment professionals, business teams, regulators, and outside advisors.Comfortable operating independently and taking ownership of both strategic and hands-on responsibilities. PREFERRED EXPERIENCE Previous responsibility spanning both General Counsel and Chief Compliance Office