Head of Legal

A leading alternative investment management firm is seeking an experienced and pragmatic Head of Legal to lead its U.S. legal function. This executive will serve as a trusted advisor to senior leadership, providing legal guidance across regulatory, governance, employment, commercial contracting, and corporate matters.

The ideal candidate will have significant experience advising investment management firms, private fund managers, or financial services organizations and will play a critical role in helping the business navigate a complex regulatory environment while supporting the firm’s growth and operational objectives.

This is not a transaction-focused role. The position will primarily focus on legal risk management, regulatory matters, corporate governance, commercial agreements, employment-related legal issues, and strategic legal advisory responsibilities.

Key Responsibilities

Legal Advisory

• Serve as the principal legal advisor to executive leadership and key business stakeholders.
• Provide practical legal guidance across business operations, strategic initiatives, and day-to-day management activities.
• Advise leadership on legal and regulatory developments affecting the investment management industry.
• Deliver risk-based legal advice that balances commercial objectives with regulatory obligations.

Regulatory & Compliance Support

• Partner closely with Compliance leadership on regulatory matters affecting the firm.
• Advise on legal obligations under the Investment Advisers Act and other applicable federal and state regulations.
• Support responses to regulatory examinations, inquiries, and investigations.
• Monitor evolving legal and regulatory requirements and assess their impact on the business.
• Assist in the review and enhancement of policies, procedures, and governance frameworks.

Corporate Governance

• Support corporate governance matters, including board meetings, resolutions, entity management, and corporate records.
• Advise senior leaders on fiduciary duties, governance best practices, and legal risk considerations.
• Maintain corporate structures and oversee legal aspects of governance processes.

Commercial Contracting

• Draft, review, and negotiate a broad range of commercial agreements, including:
  • Vendor agreements
  • Technology and software contracts
  • Service agreements
  • Consultancy agreements
  • Non-disclosure agreements
  • Data processing and privacy-related agreements
• Develop efficient contracting processes and legal playbooks.

Employment & Human Capital Matters

• Advise leadership and Human Resources on employment law issues.
• Support hiring, compensation, performance management, investigations, disciplinary matters, and employee separations.
• Review employment agreements, restrictive covenant agreements, and executive compensation arrangements.
• Manage employment-related disputes and coordinate with external counsel when necessary.

Privacy & Risk Management

• Provide guidance on privacy, cybersecurity, and data protection matters.
• Identify and assess legal risks across the organization.
• Manage litigation and disputes with outside counsel.
• Oversee legal spend and external legal service providers.
• Implement scalable legal processes and controls to support organizational growth.

Qualifications

Required

• Juris Doctor (JD) from an accredited law school.
• Active membership in good standing with a U.S. state bar.
• 8+ years of legal experience, including substantial experience within investment management, alternative asset management, financial services, or another regulated financial institution.
• Strong understanding of SEC-regulated environments and investment adviser legal frameworks.
• Experience advising executive leadership and cross-functional business teams.
• Significant experience managing commercial contracts and employment-related legal matters.

Preferred

• Prior in-house experience within an investment management, private equity, credit, hedge fund, real estate or alternative asset management organization.
• Experience working closely with Compliance and Operations functions.
• Familiarity with data privacy, cybersecurity, and vendor risk issues.
• Previous leadership experience managing outside counsel and legal budgets.

Key Competencies

• Exceptional judgment and integrity.
• Strong business and commercial acumen.
• Ability to communicate complex legal issues clearly to non-lawyers.
• Collaborative and relationship-oriented leadership style.
• Solutions-focused approach to problem solving.
• Ability to operate independently in a lean, high-performing environment.

About the Opportunity

This is an outstanding opportunity for a senior legal professional to join a growing and sophisticated investment management organization, partnering directly with executive leadership on strategic, regulatory, and operational matters while building a best-in-class legal function in a dynamic and evolving business environment.

The SR Group (US), Inc. is acting as an Employment Agency in relation to this vacancy.

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