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This position is responsible for overseeing the organization’s legal affairs and enterprise compliance functions, ensuring the organization meets its fiduciary, regulatory, and operational obligations while proactively managing risk. The General Counsel plays a central role in corporate governance, regulatory strategy, and executive decision-making, serving as a trusted advisor to senior leadership.
Job Responsibility:
Serve as the principal legal advisor to the CEO and executive team on corporate governance, fiduciary responsibilities, and enterprise risk
Oversee the drafting, negotiation, and management of contracts, transactions, litigation, and strategic agreements, including mergers and acquisitions
Direct and manage outside legal counsel and advisors
Identify and mitigate legal risks in alignment with business objectives
Lead and continuously enhance the organization’s compliance program and internal control environment
Ensure compliance with applicable federal securities and investment regulations, including oversight of regulatory examinations
Maintain and enforce the organization’s Code of Ethics and compliance policies
Oversee regulatory filings and disclosures (e.g., Form ADV, Form 13-F, and related reports)
Serve as the primary liaison with regulators and internal/external auditors
Actively participate as a member of the executive leadership team, contributing to strategic planning and enterprise initiatives
Support execution of the business plan in alignment with the CEO’s vision
Ensure legal and compliance considerations are integrated into operational and strategic decisions
Lead, mentor, and hold accountability across legal and compliance personnel
Promote a culture of ethics, collaboration, and high performance
Support professional development and succession planning within the function
Requirements:
A Juris Doctor (JD) degree from an accredited law school and active license to practice law in at least one U.S. jurisdiction
Minimum of 10 years of experience in legal, compliance, and risk management within financial services or investment industries
Expertise in corporate law, mergers and acquisitions, and corporate governance
Familiarity with federal securities regulations and investment compliance requirements
Strong skills in contract negotiation and management within a financial context
Certifications such as CSCP (Certified Securities Compliance) or CICP (Certified Investment Company Compliance) are required
Proven ability to lead teams and foster a collaborative, ethical work environment
Exceptional communication and leadership skills to effectively advise senior executives and stakeholders
What we offer:
competitive compensation and benefits package
medical, vision, dental, and life and disability insurance