Cardea Group
Legal Counsel
Cardea Group, New York, New York, us, 10261
Our client, a startup hedge fund with a tremendous pedigree, has a newly created Associate Compliance Counsel opportunity. As the first fully dedicated compliance professional, this new hire will report into the dual COO/CCO and take ownership over the execution and management of the full compliance program and aid on legal matters. Given the startup nature of the business, it is imperative to find an entrepreneurial spirited, well-rounded, and intellectually curious individual to play a key role in managing the firm’s compliance program.Key Points:
Excellent chance for career progression and advancement, working in an entrepreneurial environment with ample opportunity to assume greater responsibilities as the firm maturesReport directly into the COO/CCO, who wants to invest into this new hireOpportunity to be involved in all areas of legal and compliance as a true generalist, leveraging resources from a third party compliance consultantIndividual will manage the legal and compliance functions with an emphasis on continued learning through conference and seminar attendanceChance to contribute significantly to both the firm and the team holisticallyResponsibilities:
Review, manage, update and execute upon all aspects of the firm’s compliance manual and Code of EthicsStay abreast of regulatory changes to modify and adhere the firm’s practice to stay in complianceManage all aspects of expert network calls: perform due diligence on investment research providers, onboard and integrate expert networks, approve experts for calls, and chaperone callsPerforming regular assessments, including vendor diligence, trade surveillance, expense reviews, political contributions, gifts and entertainment, and research practicesManaging the firm’s annual compliance review and regularly communicating with employees on compliance related mattersPrepare regulatory filings and maintain the compliance calendarCollaborating with external compliance consultants and vendors on mattersAddress any legal issues that arise ranging from corporate, fund formation, human resources, to regulatoryQualifications:
J.D. required1.5-2.5 years of experience working in a compliance consulting role or directly at a hedge fundProficiency with a compliance software program is advantageousOptimistic, proactive, and open to evolving the role based on the needs of the firmWillingness to work in a fast-paced environment with the desire to take on additional responsibilities with timeCompensation Expectations:
$120-150k base
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Excellent chance for career progression and advancement, working in an entrepreneurial environment with ample opportunity to assume greater responsibilities as the firm maturesReport directly into the COO/CCO, who wants to invest into this new hireOpportunity to be involved in all areas of legal and compliance as a true generalist, leveraging resources from a third party compliance consultantIndividual will manage the legal and compliance functions with an emphasis on continued learning through conference and seminar attendanceChance to contribute significantly to both the firm and the team holisticallyResponsibilities:
Review, manage, update and execute upon all aspects of the firm’s compliance manual and Code of EthicsStay abreast of regulatory changes to modify and adhere the firm’s practice to stay in complianceManage all aspects of expert network calls: perform due diligence on investment research providers, onboard and integrate expert networks, approve experts for calls, and chaperone callsPerforming regular assessments, including vendor diligence, trade surveillance, expense reviews, political contributions, gifts and entertainment, and research practicesManaging the firm’s annual compliance review and regularly communicating with employees on compliance related mattersPrepare regulatory filings and maintain the compliance calendarCollaborating with external compliance consultants and vendors on mattersAddress any legal issues that arise ranging from corporate, fund formation, human resources, to regulatoryQualifications:
J.D. required1.5-2.5 years of experience working in a compliance consulting role or directly at a hedge fundProficiency with a compliance software program is advantageousOptimistic, proactive, and open to evolving the role based on the needs of the firmWillingness to work in a fast-paced environment with the desire to take on additional responsibilities with timeCompensation Expectations:
$120-150k base
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