General Counsel & Chief Compliance Officer (CCO) NYC Private Equity - Investment Management Firm

J Harlan Group, LLC - New York, NY

General Counsel & Chief Compliance Officer (CCO)

NYC Private Equity - Investment Management Firm

J Harlan Group is currently conducting a search for an experienced and highly motivated General Counsel & Chief Compliance Officer at a prominent NYC Private Equity - Investment Manager.

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 General Counsel & Chief Compliance Officer will be responsible for all aspects of legal & investment 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:

  • Provide investment related legal and compliance leadership to the firm
  • Participate in the execution of investment transactions within the private equity community
  • Develop, implement, and periodically update the firm's compliance policies and taking steps to ensure that employees are informed and trained as to compliance requirements and goals
  • Manage a compliance monitoring program, conduct testing, and issue an annual compliance report
  • 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, best execution practices, 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.
  • Oversee the day to day administration of the Firms Code of Ethics for Personal Trading and ensure compliance with advisor policies.
  • Provide direction and guidance to internal/external business associates on investment advisory compliance issues, including fiduciary responsibility, advisory regulation, strategic relationships, and permissible activities under firm policy, SEC rules and regulations and the Investment Advisers Act of 1940.
  • Identify risks and conflicts of interest related to the Firm’s business models.
  • Maintain familiarity with current laws, rules, and regulations, including attendance at industry conferences as appropriate

The ideal candidate would have a background including:

  • Investment transactional experience at a Private Equity or Law firm.
  • Investment adviser compliance program experience preferred, including risk assessments and self-examination under Rule 206(4)-7
  • Experience supporting private funds
  • Ability to work independently
  • Strong written and verbal communication skills
  • Excellent time management skills with attention to detail
  • Bachelor’s degree plus J.D., a professional designation (such as a CFA) is a plus
  • Advanced knowledge of 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
  • Experience with other rules and regulations under ERISA, CFTC and FINRA a plus

Education:

  • Strong academic record and a bachelor’s or higher degree

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

About the Client:

The firm is leading private equity investment manager specializing in the transportation sector, currently focused on rail and aviation assets. They target investment opportunities that can benefit from their deep, longstanding relationships, access to proprietary information, financial structuring, and operational expertise. They focus on investing in assets that generate consistent cash flow and have significant downside protection.

Founded in 2014, the firm manages ~$1bn+ of investor capital across rail and aviation strategies with locations in NYC, 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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