About this opportunity
TBG | The Bachrach Group lists this Compliance Counsel opportunity in new york city, New York. Review the employer’s description below for duties, qualifications and application requirements.
Job description
Compliance Counsel,
This role will serve as a key member of a collaborative Legal and Compliance team, advising investment and business professionals on a broad range of regulatory, compliance, and governance matters.
The successful candidate will combine strong legal training with practical compliance experience, sound judgment, and the ability to manage complex priorities in a fast-moving environment.
Key Responsibilities
Advise investment professionals and other stakeholders on day-to-day compliance matters, with particular attention to private credit and corporate fixed-income strategies.
Partner with senior Legal and Compliance colleagues on matters involving the SEC, CFTC, ERISA requirements, and applicable U.S. state, federal, and international securities regulations.
Own the continued development and administration of the compliance program, including policies, procedures, controls, training, and the annual review required under Rule 206(4)-7.
Lead the compliance response for investor due diligence questionnaires, marketing reviews, and other information requests from clients or prospective investors.
Draft and review investor disclosures, internal guidance, business communications, and memoranda supporting the implementation of compliance requirements.
Coordinate regulatory inquiries and examinations, including document production, management of responses, and mock-exam preparation with outside advisers and counsel.
Track legal and regulatory developments, assess their business impact, and work with internal and external partners to implement appropriate changes, including those related to sustainability requirements.
Prepare clear compliance reporting and updates for investment teams, business leaders, and senior management.
Collaborate across investment, marketing, finance, operations, and middle-office functions to provide practical, risk-based guidance and support business initiatives.
Qualifications
Juris Doctor degree and admission to at least one U.S. state bar.
At least five years of relevant experience spanning law-firm practice and an in-house compliance role; experience with a credit-oriented investment platform or regulatory advisory firm is preferred.
Prior law-firm experience is required, ideally within an investment-management, fund-formation, or financial-regulatory practice.
Strong knowledge of U.S. and international regulatory expectations, industry practices, and effective risk communication.
Excellent legal drafting, written communication, and presentation skills, with the ability to translate technical requirements into practical guidance.
Demonstrated ability to take initiative, independently drive projects from inception through completion, and exercise sound judgment in unfamiliar situations.
Collaborative and hands-on working style, with the interpersonal flexibility to build productive relationships across varied functions and personalities.
Composed and reliable under pressure, with comfort operating through ambiguity, competing priorities, and tight deadlines.
Independent, analytical thinker who is equally comfortable working autonomously and contributing to a highly integrated team.
Willingness to address a broad and evolving range of legal and compliance matters in a demanding, fast-paced setting.
Who can apply
Review the original listing for work authorization, qualifications and employer requirements.