Compliance Officer and Counsel
A boutique quantitative investment management firm is seeking a hybrid legal and compliance professional to support its trading platform and upcoming growth. The organization operates at the intersection of advanced analytics, technology, and systematic investing. This role combines day-to-day legal oversight with ownership of the firm's compliance framework, offering a clear path to assuming leadership of the compliance function. The position is hands-on, covering regulatory filings, fund governance, trading oversight, and commercial legal matters within a fast-paced, entrepreneurial environment.
The successful candidate will take ownership of the compliance program, including regulatory reporting, marketing oversight, and internal controls, while also leading legal drafting, contract negotiation, and fund structuring activities. The role requires close collaboration with senior stakeholders and external partners, with increasing responsibility across both compliance and legal domains.
Requirements:
- 5-10+ years of relevant experience within a leading law firm and/or in-house at an investment manager
- Strong background advising registered investment advisors on compliance and regulatory matters
- Experience supporting hedge funds, private funds, or similar investment vehicles
- J.D. and active bar admission in good standing
- Deep knowledge of key U.S. securities regulations (e.g., Advisers Act, Company Act, Securities Act)
- Proven experience with regulatory filings (e.g., ADV, PF, 13F/13H) and compliance program management
- Exposure to trading-related compliance, including data governance and MNPI considerations
- Track record of drafting and negotiating a wide range of legal agreements (fund docs, vendor contracts, SMAs)
- Strong communication skills with the ability to translate legal concepts to business stakeholders
- Ability to operate autonomously, balance legal risk with commercial priorities, and scale with firm growth
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