Counsel & Compliance Officer
Our client, a credit asset management firm in Los Angeles, is looking to add a Counsel & Compliance Officer to their in-house legal and compliance team. This position will join a lean team at a public credit, private credit, and structured corporate credit focused firm which has seen impressive growth, having ballooned from $3bn AUM to nearly $10bn AUM over the past approximately half decade.
The Counsel & Compliance Officer will be responsible for a wide range of legal and compliance matters, with a roughly 40%/60% split between legal and compliance work. On the legal side, candidates will support with tasks including…
- deal closings
- fund formation
- ad-hoc legal tasks as needed
The compliance function will include a wide range of responsibilities that fall under the umbrella of an RIA compliance program, including…
- Cyclical regulatory processes
- Quarterly filings
- Logging outside business activities
- Social media review
- Reviewing marketing materials
- Understanding and enforcing compliance policies and procedures
The ideal candidate either has 2+ years of compliance experience with a registered investment advisor or is a 2-4 corporate/finance/asset management/etc. attorney at a nationally recognized law firm.
Please do not hesitate to apply for a confidential conversation about this opportunity and firm.
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