General Counsel, Compliance

Duties: - Oversee regulatory filings, including Forms ADV, PF and D- Oversee key regulatory and compliance matters, including fiduciary obligations, conflicts of interests, custody, fees and expenses, marketing materials, investor communications, vendor oversight and investor complaints.- Create and enforce risk-based policies, procedures, risk assessments and testing calendars.- Lead annual and interim compliance reviews and track corrective actions.- Evaluate whether safeguards are designed and operating to prevent, detect and correct potential violations of securities laws, regulation, policy and procedures.- Chair Legal & Compliance Committee meetings- Advise Executive Committee and other stakeholders regarding regulatory concerns, findings, remediation status and emerging risks.- Serve as the primary liaison with the SEC and other regulators

Qualifications: - JD from an accredited law school and active license in New Jersey.- 10+ years legal, compliance or regulatory experience, including 10 years of compliance leadership capacity.- Experience with the Investment Advisers Act of 1940, private funds, registered investment advisers, alternative investment platforms or financial-services regulation.- Significant experience preparing for and managing SEC examinations.- Legal transactional experience in commercial real estate and investment funds highly preferred.