General Counsel & Chief Compliance Officer

Company: Cardea Group
Location: New York
Posted on: April 18, 2025

Job Description:

General Counsel & Chief Compliance OfficerNew York, NYJob Reference #3137030

• Ideal opportunity for an AGC or DGC to step into the GC& CCO role.
• Fund has stick assets, strong performance, and prioritizes work-life balance to support its performance and success.
• Opportunity to have a seat at the table and drive strategic decisions with key stakeholders internally.Responsibilities:
  • Own the firm's compliance program, including policy development, forensic testing, surveillance, and annual reviews under Rule 206(4) -7.
  • Manage all regulatory filings, ensure SEC exam readiness, and provide legal guidance on products, structures, and operations.
  • Prepare and negotiate offering documents, side letters, and counterparty agreements, ensuring alignment with fund terms and regulatory standards.
  • Provide legal and compliance counsel to management and investment teams on regulatory risk, product initiatives, and reputational considerations.
  • Review marketing materials, investor communications, and DDQ responses for compliance with SEC rules and disclosure requirements.
  • Supervise outside counsel, compliance consultants, and vendors; lead due diligence and oversee cybersecurity and business continuity efforts.
  • Conduct employee training, monitor personal trading and communications, and support HR on employment agreements, policies, and investigations.Qualifications:
    • JD with 7+ years of post JD experience working in a regulatory or compliance capacity within a hedge fund (preferred), private equity fund, traditional asset manager, compliance consulting firm, or the SEC
    • Prior SEC exam experience strongly preferred
    • Someone with strong judgement, excellent organizational skills and strong attention to detail
    • Strong technical capabilities and an analytical mindset are critical
    • Willingness to work in office 5 days/week
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Keywords: Cardea Group, Greenwich , General Counsel & Chief Compliance Officer, Executive , New York, Connecticut