Our client, a leading private equity firm with over $35 in AUM, wants to add a lawyer to their team in New York. They're seeking an attorney with at least three years' experience handling regulatory/compliance work for investment management clients and some exposure to corporate transactional matters. The successful candidate will be an integral part of our client's legal team and interface regularly with the company's business teams as well as outside counsel, regulators, and counterparties. It's a highly collaborative legal group with an excellent culture and extremely low attrition. The role is hybrid (4:1), with remote Fridays. Our client is open to covering relocation costs for this role.
- $200K - 300K annually (base of up to $200K + discretionary annual performance bonus of up to $100K)
Responsibilities:
- Manage the firm's U.S. compliance program, including all duties relating to registration with the SEC
- Oversight, administration, and documentation of the firm's compliance program. Identifying risk, monitoring, testing, developing and implementing control enhancement, and tackling remediation if and as necessary
- Preparing documentation of all compliance efforts
- Liaising with both other members of the legal department and with the Investor Relations team to draft, review, and approve external communications
- Spearheading development and drafting of all regulatory reporting (including Form ADV and PF)
- Periodically supporting other corporate transactions and aspects of fund formation and operations as necessary
Required Qualifications:
- Juris Doctor from a top accredited law school
- Admitted and in good standing to a state bar
- At least three years' relevant experience at a top law firm, in-house, or with a regulator (with some experience at an AmLaw-ranked firm strongly preferred)
- Deep working knowledge of investment management law, with an emphasis on compliance and regulatory law (including familiarity with SEC exams)
- Experience overseeing compliance programs (e.g., compliance manual, testing, code of ethics administration)
- Working familiarity with relevant marketing rules
- Working familiarity with corporate transactional work, fund formation, and investor relations a strong plus
- Strong business judgment and interpersonal skills
- Ability to manage multiple concurrent projects, prioritize tasks, and meet deadlines
- Comfort working with cross-functional teams
- Excellent written and verbal communication, negotiation, and presentation skills
- Strong attention to detail
If you meet the required qualifications and are interested in this role, please apply today.
The Solomon Page Distinction
Our teams, comprised of subject matter experts, develop an interest in your preferences and goals and we act as an advisor for your career advancement. Solomon Page has an extensive network of established clients which allows us to present opportunities that are well-suited to your respective goals and needs - this specialized approach sets us apart in the industries we serve.
About Solomon Page
Founded in 1990, Solomon Page is a specialty niche provider of staffing and executive search solutions across a wide array of functions and industries. The success of Solomon Page reflects an organic growth strategy supported by a highly entrepreneurial culture. Acting as a strategic partner to our clients and candidates, we focus on providing customized solutions and building long-term relationships based on trust, respect, and the consistent delivery of excellent results. For more information and additional opportunities, visit: and connect with us on Facebook , and LinkedIn .
Opportunity Awaits.