AVP/VP Legal & Compliance - Private Equity Real Estate Investments

Employer
Robert Half - US
Location
New York, USA
Salary
$120k - $190k
Posted
Sep 29, 2022
Closes
Oct 21, 2022
Ref
16634258
Job Function
Compliance/Regulatory
Industry Sector
Finance - General
Employment Type
Full Time
Education
Bachelors
Reporting to the Chief Legal Officer ("CLO") and Chief Compliance Officer ("CCO"), the AVP/VP Legal & Compliance will be primarily responsible for the day-to-day execution and oversight of the firm's US investment adviser compliance program and will provide legal support across a broad range of corporate and securities matters.

The AVP/VP Legal & Compliance will work to ensure the firm is in compliance with its required policies and procedures and will be responsible for the evaluation, testing, review, revision, and deployment of the firm's legal and compliance program, coordinating reviews and reporting on findings, and developing updates to the firm's legal and compliance program. This position will also be responsible for organizing stakeholders as relevant for compliance project deployment and will require developing best practices to resolve findings and roll out of changes.

Responsibilities:
  • Maintain, and assist in revising, policies and procedures for the general operation of the US legal and compliance program and its related activities to prevent illegal, unethical, or improper conduct as prescribed by US federal securities law and best practice ("Law")
  • Manage day-to-day execution and operation of the US legal and compliance program
  • Liaise with the CLO/CCO to execute on strategic approaches to legal and compliance reviews, issues, and/or concerns to minimize the company's risk exposure
  • Oversee the review of advertising and marketing materials to ensure compliance with applicable Law
  • Assist with drafting fund formation and deal-cycle documents as applicable
  • Develop and implement the annual review of the registered investment adviser to include supervisory controls, systems testing, and drafting reports on processes and findings
  • Oversee the firm's US corporate governance (required corporate consents) as required by state corporation (or similar) laws
  • Coordinate Cayman Islands (or similar) affiliated entity corporate governance matters and record-keeping in conjunction with appropriate local counsel
  • Review NDAs, counter-party engagement letters, and other third party legal agreements as applicable
  • Coordinate monthly, quarterly, and annual compliance reporting, as applicable, including Form ADV and Form PF filings
  • Test and monitor samples of documents/cases required by applicable Law
  • Stay up to date with industry and regulatory changes by reviewing, in conjunction with the CLO/CCO, law firm memoranda, SEC alerts, and other news sources
  • Research and analyze US federal and state (including SEC, BE-A, and state securities regulators, as applicable) level regulations and, when applicable, apply to a specific question of fact
  • Support the compliance and legal team in other initiatives, projects, or tasks as necessary
  • Review, discuss, and execute on the CLO/CCO's plans to manage a crisis or compliance violation, in consultation with senior management as needed
  • Assist in educating and training employees on regulations and industry practices
  • Address employee concerns or questions on legal and compliance matters, including employee required periodic reporting


Requirements:
  • 3 to 10+ years of Legal & Compliance experience at a Private Equity or Real Estate Investment firm
  • JD is desirable but not required
  • Understanding of industry standards, compliance operating and regulatory requirements, such as SEC, FINRA, and state financial regulators
  • Knowledge of FINRA Gateway for Form ADV and Form PF submissions
  • Experience in monitoring and/or surveillance of processes and procedures


This AVP/VP Legal & Compliance role is located in midtown Manhattan New York so please only apply if you are able to travel to this location, have relevant experience for the role, and are eligible to work in the United States. The salary is flexible dependent on experience, but the initial range is $120-$190k base plus 30% bonus. If your profile matches the above criteria, please email me directly and add me on LinkedIn Trishan.Khareghat@roberthalf.com
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