Head of Operations, Compliance & Legal, Investment Advisor Company, Seattle, WA

Harris Legal Search seeks an experienced attorney to join a Seattle investment advisor executive team as Head of Operations, Compliance & Legal.  The company needs a business-oriented lawyer with contract law experience to lead the operations and compliance roles.

The ideal candidate will have at least 10 years’ experience, ideally at an asset management firm, with a proven ability to excel in a fast-paced environment.  To succeed at this role, the candidate must be self-motivated, detailed oriented, an outspoken leader, and looking to grow with the organization.

RESPONSIBILITIES

• Provide advice on matters related to open-end and asset-backed securities fund structuring across multiple jurisdictions; preparing, reviewing and negotiating fund documentation and offering materials.
• Managing outside counsel’s preparation and review of fund documentation and overseeing outside counsel with respect to private funds generally.
• Create and manage initial financial modeling around feasibility of new funds.
• Work with outside counsel to understand tax implications of new fund structuring.
• Work with outside counsel on ERISA compliance items for specific funds.
• Coordinating advice and support to internal stakeholders to develop, establish, and improve internal processes.
• Work closely with management to continuously refine processes and controls to further streamline operations.
• Manage outside technology firm and evaluate solutions and additions of technology packages.
• Enhance metrics and KPIS to help monitor and continuously enhance operational processes and proactively address emerging risks.
• Assessing risk in the current and future processes and developing new strategies to address these risks.
• Work as part of the executive management team to build and execute longer-term company strategy.
• Responsible for the firm’s cybersecurity program
• Overall responsibility for the design, implementation, and effectiveness of the compliance program.
• Managing, coordinating, and conducting, in conjunction with the outside compliance firm, periodic and annual reviews and risk assessments of the firm’s compliance policies and procedures.
• Reviewing and updating existing policies and procedures in response to changes in the business or regulations.
• Managing and coordinating preparation of all adviser related regulatory filings (e.g., Form ADV, Form PF, Form D).
• Assessing, analyzing, and interpreting, and providing guidance to firm on the application of regulations and policies. 
• Manage and coordinate compliance response to audits and regulatory exams.

QUALIFICATIONS

• Minimum of 10-15 years’ experience in investment management industry with focus on U.S. investment advisory matters.
• Bachelor’s degree; an advanced business or law degree is preferred.
• Strong knowledge of U.S. Securities laws.
• Fund formation experience and familiarity with U.S. and non- U.S. laws impacting privately offered funds is preferred.
• Knowledge of insurance taxation laws and regulations
• Excellent analytical, written and verbal communication skills.
• Comfort with working across different business functions while remaining responsive.
• Desire to work creatively in a fast-paced environment.
• Strong organizational skills and ability to balance multiple time-sensitive matters.
• Outstanding relationship-building skills and a consistent track record of working well as a member of a team.  You should approach problems in a business-minded and practical manner and be able to communicate sophisticated concepts in an understandable way.
• Strong data proficiency and ability to understand data-flows across applications and providers.
• Deep knowledge of the insurance industry is preferred, bonus if includes life settlements.
• Comfortable in fast paced, team-based organization with start-up mentality.