Vice President, Legal & Chief Compliance Officer

📋 Description

• Serve as the firm's designated Chief Compliance Officer, with accountability for SEC regulatory
• Lead the development, execution, and continuous improvement of the firm's compliance framework
• Serve as the company's senior legal advisor, overseeing commercial agreements, corporate
• Advise executive leadership and cross-functional teams on legal and regulatory considerations
• Oversee legal and compliance considerations related to information security, SOC 2 Type 2, data

🎯 Requirements

• JD and active license to practice law in at least one U.S. jurisdiction.
• 10+ years of progressive legal and regulatory compliance experience, including substantial
• Proven senior-level leadership experience, with direct accountability for legal matters and
• Deep knowledge of SEC regulations, including Rule 206(4)-7, the SEC Marketing Rule, and applicable
• Demonstrated experience managing SEC examinations, regulatory risk, compliance programs, and
• Strong executive presence, sound judgment, and the ability to advise senior leaders and balance

🎁 Benefits

• Fully Remote Work
• Comprehensive Health Coverage (Medical, Dental, Vision)
• Life & Disability Protection
• Financial Wellness: 401(k) with employer match, FSA and HSA options, equity packages
• Time Off: Generous vacation, sick, and parental leave policies
• Additional Perks: Home office stipend and Employee Assistance Program (EAP)