Overview:
An established fund manager in Texas is seeking a Chief Legal Officer (CLO) to lead and oversee the legal strategy and operations within the organization. As a key member of the executive team, the CLO will provide strategic guidance on legal, regulatory, and compliance matters related to investment management and fund operations. The CLO will work closely with the CEO and other senior leaders to support the company's growth, ensure regulatory compliance, and protect the organization's legal interests.
Key Responsibilities:
- Strategic Leadership: Develop and implement the company's legal strategy to support business goals while managing risk and ensuring compliance with applicable laws and regulations.
- Fund Operations: Oversee legal matters related to fund formation, structuring, governance, and administration, with a focus on regulatory compliance in the investment management sector.
- Regulatory Compliance: Ensure compliance with SEC and other regulatory requirements, guiding the firm through evolving regulations and industry standards.
- Corporate Governance: Support the board of directors in implementing best practices in corporate governance, including preparation and review of board materials, resolutions, and policy development.
- Risk Management: Collaborate with other departments to identify, assess, and manage legal and regulatory risks, developing policies and practices that support organizational objectives.
- Contract Negotiation: Oversee drafting, reviewing, and negotiating key agreements, including those with clients, vendors, and partners, ensuring protection of the firm's interests.
- Team Leadership: Lead and mentor the in-house legal team, fostering a collaborative and high-performance environment.
Qualifications:
- Experience: 8-10 years of legal experience within the financial services industry, with specific expertise in investment management, fund-related matters, and regulatory compliance.
- Education: Juris Doctor (JD) degree and active license to practice law in the state of Texas or licensed by another state to practice law and eligible for and will apply within six months of start date
- Expertise: Demonstrated experience in SEC compliance, fund formation, corporate governance, and risk management for investment vehicles and portfolios.
- Leadership Skills: Proven ability to lead cross-functional teams and work effectively within a high-paced, complex environment.
- Executive Presence: Strong communication skills and ability to provide legal advice and strategic counsel at the executive and board levels.
Compensation:
Competitive base salary with performance-based bonuses and comprehensive benefits package.
