AGC & Compliance

The Assistant General Counsel & Compliance Officer will manage legal workflows that include overseeing the Firm's existing suite of offerings, including funds (1940 Act, private, UCITS, and CIT) and advisory mandates (SMA, sub-advisory and wrap); managing contractual documentation, including vendor contracts, NDAs, sponsorship agreements, and distribution agreements; and advising on litigation, privacy, lobbying, and political giving matters. Additionally, the Assistant General Counsel & Compliance Officer will lead day-to-day compliance functions that include marketing materials review and maintaining the master compliance calendar; internal reviews, forensic testing and monitoring of compliance policies and procedures; assembling compliance reports and certifications for internal and external consumption; managing regulatory filings; and liaising with internal groups and external service providers. The ideal candidate will have a strong academic track record, including a Juris Doctor from an accredited law school and admission to the New York State Bar, and at least three years of legal experience at a law firm specializing in the Investment Company Act of 1940. Additional experience at an investment bank, hedge fund, and/or traditional asset manager will be a plus, as will experience with one or more of Comply Sci, EZE Compliance (an EZE Castle product), Ridgeline, or APX (an Advent product). The successful candidate will be facile with enterprise AI tools, highly accountable, collaborative, well-organized, and curious, with excellent attention to detail and superior communication and interpersonal skills.