VICE PRESIDENT OF LEGAL AFFARS / GENERAL COUNSEL & CHIEF COMPLIANCE OFFICER NYC Private Equity - Investment Management Firm

J Harlan Group, LLC - New York, NY

VICE PRESIDENT OF LEGAL AFFARS / GENERAL COUNSEL & CHIEF COMPLIANCE OFFICER

NYC Private Equity - Investment Management Firm

J Harlan Group is currently conducting a search for an experienced and highly motivated Vice President of Legal Affairs / General Counsel & Chief Compliance Officer a prominent NYC Private Equity - Investment Manager. Our client is seeking a hands-on, pro-active leader to be responsible for overseeing the Firm’s legal and compliance activities. The position is based in the New York office. 

An exciting opportunity to provide “hands on” Legal & Compliance leadership - reporting directly to the COO of this fast growing and dynamic investment organization that is experiencing exceptional growth! The Vice President of Legal Affairs / General Counsel & Chief Compliance Officer will be responsible for all aspects of legal & investment transaction & compliance for the firm. This position requires an ability to work independently in a fast-paced, dynamic environment where attention to detail, analytical skills and strong communication skills are essential.

This individual will be a significant contributor in enabling their vision and helping the organization to grow and improve their businesses. To be successful in this role you must be highly detail oriented and organized, able to meet assigned deadlines and have first class communication and interpersonal skills.

Key Responsibilities:

Legal:

  • Lead all legal matters related to transactions, fund formation, general corporate, and regulatory matters
  • Negotiate and review various contracts, including NDAs, side letters, vendor agreements, purchase and sale agreements, leases and renewals, management agreements
  • Coordinate and manage external legal counsel

Compliance and Regulatory

  • Oversee the investment adviser compliance program, including implementing and periodically updating, monitoring and testing the Firm's compliance policies and programs and taking steps to ensure that employees are informed and trained as to compliance requirements and goals
  • Review marketing and sales material to ensure consistency and compliance with applicable laws, regulations, etc.
  • Perform other business risk assessments such as investment approvals and allocations, conflicts of interest, valuations, various internal review/approval processes, cybersecurity, business continuity, records retention and email reviews, among others
  • Prepare regulatory filings such as Form ADV, Blue Sky, Form D, Form PF
  • Identify risks and conflicts of interest related to the Firm’s business models

General 

  • Maintain familiarity with current laws, rules, and regulations, including attendance at industry conferences as appropriate
  • Promote firm’s reputation for ethics and integrity
  • Provide counsel on human resources issues
  • Interface with senior management in all functional areas and governance committees

The ideal candidate would have a background including:

This position requires a skilled professional who has strong analytical and writing skills, an ability to multi-task and is an effective communicator. 

  • J.D. with excellent academic credentials
  • Minimum of 5 years legal or investment advisory experience
  • Advanced knowledge of SEC and FINRA rules, the Investment Advisers Act of 1940, the Investment Company Act of 1940, the Securities Act of 1933, and Securities Exchange Act of 1934 is required
  • Ability to work independently
  • Strong written and verbal communication skills
  • Excellent time management skills with attention to detail
  • Experience with other rules and regulations under ERISA and CFTC
  • Team player, with the ability to partner with senior management on compliance, legal, finance, human resources, and other matters
  • Well organized, self-starter with the ability to manage multiple projects

An individual who loves solving deep and complex legal & investment related matters and wants to have an outsized impact with the products and solutions they deliver. An individual with a passion for the investment community, high level of intellectual curiosity, a commitment to excellence and an unparalleled drive to deliver world-class services.

If you or anyone in your network would be interested in this opportunity, please send resume to Jerry Goldberg at jgoldberg@jharlan.com or directly contact us at (212) 792-0099

About the Client:

The firm is a leading Private Equity investment manager, founded in 2014, focused on investing in critical real assets in the transportation and industrial sector. They embrace macro-economic themes to make long-view investments, rather than expedient ones.

Their ~$4B of real assets reflects their focus on low volatility, cash yield, and superior risk adjusted returns. The firm is registered with the SEC as an investment adviser and currently manages approximately $2 billion. They are headquartered in NYC with offices in Chicago and St. Louis.

They seek candidates who are high-energy self-starters who want to join an investment management firm on the leading edge of financial markets. The management team needs individuals of the highest professional caliber who are leaders, problem solvers, analytic, detail-oriented, and entrepreneurial. Everyone at the firm works side-by-side with the firm’s senior partners in a highly collaborative and charged investment environment.

Successful candidates are:

  • Analytic and relentless in pursuit of the right answer
  • Strong communicators who excel at rapid synthesis
  • Able to demonstrate sound business judgment
  • Able to digest complexity while maintaining an understanding of the “big picture” of business needs
  • Team players who are energized by a collaborative enterprise

The firm’s employees maintain the highest professional and ethical standards. The firm has earned a reputation for honesty, fair dealing, and transparency in a competitive industry. They believe that these standards are the foundation for superior investment performance and are critical to delivering performance to clients



Posted On: Wednesday, January 5, 2022



Position Contact
Jerry Goldberg
Manager Director
(212) 792-0099

After years as a Senior Financial Services Executive, I have decided to make a career change and leverage my vast knowledge of the financial services and technology industry as an executive recruiter and have opened an executive search and recruiting firm "J Harlan Group, LLC' specializing in technology and financial services talent search.

Financial Services Executive with expansive Private Equity, Hedge Fund, Investment Banking, Asset Management, Securities Brokerage, Commercial Banking and Insurance experience. With combined expertise as a Chief Information Officer, Chief Administrative Officer and Principal/Consultant, my responsibilities have expanded a broad cross-section of business disciplines – technology, strategic planning, operations management, HR, administration, outsourcing, business development, strategic partnering, product development, financial operations and reporting, client relationship management.

Specialties: • Leadership authority for building and managing the technological, operational, and administrative platforms for financial services organizations.

• Contributed significantly to starting, developing and building a privately-held organization into a $1 billion market cap publicly traded company on the NYSE within five years of inception.

• Recognized achievements in building top-performing, best-in-class organizations capable of supporting corporate objectives.

Contact: jgoldberg@jharlan.com – 212-792-0099 – www.jharlan.com 

See our current Job Listing at https://www.jharlan.com/our-current-job-listings

 

 

 

 

 

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