Chief Compliance Officer & General Counsel

Firm Overview

A $4 billion investment boutique focused on micro to mid-cap equities globally. Our firm was founded by a team of veteran investors in 2011. We use a disciplined bottom-up process and our own fundamental analysis to find what we believe to be the best equity investments around the world. We manage eight mutual funds, as well as limited partnerships and separately managed institutional accounts.

Position Overview

The Chief Compliance Officer oversees the compliance program for the firm, with assistance from two other members of the compliance team (each of whom wears multiple hats). The new CCO will replace the President in the CCO role and will be our first dedicated compliance officer and general counsel. The CCO/GC will report to the President.

Job Responsibilities

  • Providing strategic leadership to the firms on all matters related to compliance
  • Overseeing the comprehensive implementation and forensic testing of our compliance program
  • Proactively updating our compliance program based on new business practices and/or regulations
  • Ensuring we understand and comply with compliance & legal rules in markets around the world as they relate to our business
  • Serving as the primary point person for interfacing with the SEC and other regulators
  • Leading, managing, and developing the compliance team
  • General Counsel:

o Providing strategic leadership to the firms on all legal matters

o Reviewing contracts and leading the execution of all legal matters

o Creating legal documents as necessary

o Interfacing with external counsel as necessary

Qualifications

  • High integrity
  • 10+ years of compliance investment industry experience
  • JD degree
  • Advanced knowledge of US securities laws ('34 Act, '40 Act, etc.)
  • Knowledge of global equity markets and compliance issues domestic and abroad as they relate to both investing and marketing
  • Passionate about compliance and legal topics
  • Strategic, forward-thinking, and proactive
  • Ability to understand and navigate the broad and complex set of compliance rules across the globe
  • Strong oral and written communication skills; ability to articulate pertinent information clearly
  • Good risk management & business judgment
  • Excellent organization skills
  • Seeks continuous learning/growth

* Works well in highly collaborative, non- hierarchical, non-political environment

The SR Group (US), Inc. is acting as an Employment Agency in relation to this vacancy.

Please note that your personal information will be treated in accordance with our Privacy Policy.