Connect with us:

Active Searches

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

Email to a Friend

Interested in this opportunity?

Apply Now

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.

Position Inquiries

Please provide your information and upload your CV. Please note the types of positions you are interested in being considered for.

For general inquiries, please use the general contact form.

Please be assured that your identity and materials are strictly confidential. Harris Legal Search will not share your information with third parties without your express permission.

Due to the high number of candidate submissions that we receive, we regret that we cannot respond personally to everyone who contacts us. However, we will definitely keep your information on file. If our corporate or law firm clients have an appropriate opportunity for your background, we will be in touch.