Chief Compliance Officer (CCO), Legal Counsel

About the Company: A growing investment management firm building compliance and legal functions for SEC registration IndustryFinancial Services TypePrivately HeldAbout the RoleThe Company is seeking a Deputy Chief Compliance Officer and Legal Counsel to help lead its regulatory compliance and legal functions. The role will support the process of registering as an investment adviser and build and maintain a compliance program, including policies, testing, monitoring, risk assessments, and reporting. Responsibilities include coordinating annual reviews, regulatory examinations, and filings; advising on investment activities and fund governance; and drafting and reviewing agreements, offering materials, and investor communications. The successful candidate will partner with leadership and investment teams to identify regulatory risks, establish practical controls, and develop scalable governance and training processes. Candidates must hold a Juris Doctor from an accredited law school and be an active member in good standing of a U.S. state bar. At least five years of legal and compliance experience in investment management, private funds, or alternative investments is required. Applicants should have strong knowledge of investment adviser regulations and direct experience with compliance programs, regulatory filings, policies, and examination preparation. The role also requires experience advising investment businesses, understanding of fiduciary duties, conflicts, disclosures, and fund governance, and strong drafting, communication, and stakeholder-management skills. Functions Legal