General Counsel & Chief Compliance Officer

General Counsel & Chief Compliance Officer

A confidential, rapidly growing alternative capital platform based in Miami, the company is democratizing access to private markets for accredited and mass‑affluent investors.

In partnership with leading institutional managers, the platform sponsors and manages a family of publicly registered interval funds and private‑market feeder structures offering diversified exposure to private equity, private credit, infrastructure, venture capital, and real estate.

Built on a culture of transparency, innovation, and rigorous governance, the platform is entering a pivotal scaling phase—adding new products, expanding distribution channels, and formalizing its 1940 Act and FINRA compliance and governance infrastructure.

The Opportunity

The company seeks an accomplished General Counsel and Chief Compliance Officer (GC/CCO) to serve as its chief legal and regulatory executive.

Reporting directly to the President and the Board of Trustees of the platform’s registered funds, and working closely with the Chairman/Founder/CEO and Board of Directors, the GC/CCO will:

• Oversee all legal, compliance, and governance matters across the management company, its investment vehicles, and distribution affiliates.
• Serve as primary liaison to the SEC, FINRA, and state regulators for all registered funds and advisory entities.
• Partner with senior leadership on strategic initiatives, capital formation, and product innovation, ensuring regulatory excellence as the platform scales.

This is a hands‑on, strategic leadership role for a legal executive who combines deep regulatory expertise with a business‑builder’s mindset.

Key Responsibilities

Legal & Regulatory Leadership

• Serve as General Counsel for the management company and affiliated entities, advising the CEO and Board on all legal and governance matters.
• Oversee regulatory frameworks for publicly registered interval funds and related ’40 Act compliance programs.
• Manage adviser registration and disclosure filings (Form ADV, N-CEN, N-PORT, N-CSR, etc.) and ensure timely SEC submissions.
• Lead regulatory correspondence, examinations, and engagement with SEC Division of Investment Management and FINRA.
• Provide counsel on new products, distribution structures, and joint ventures.
• Negotiate and manage third‑party vendor, sub‑advisory, and fund‑service provider contracts (administration, custody, audit, legal, and technology).

Compliance Oversight

• Serve as Chief Compliance Officer for the management company and each registered fund under Rule 38a-1 and Rule 206(4)-7.
• Oversee testing, monitoring, and annual reviews of compliance programs, presenting findings to the Board’s Audit & Compliance Committee.
• Implement robust AML/KYC, privacy, cybersecurity, and code‑of‑ethics frameworks aligned with SEC and FINRA standards.
• Review and approve all marketing and sales materials to ensure regulatory compliance across digital, RIA, and broker‑dealer channels.

Governance & Board Support

• Advise Boards of Directors and Trustees on fiduciary duties, governance practices, and regulatory developments.
• Prepare and present fund‑board materials, including 15(c) contract reviews, compliance reports, valuation summaries, and risk assessments.
• Coordinate with administrators, auditors, and independent trustees to maintain best‑in‑class governance standards.

Strategic & Commercial Partnership

• Collaborate with the CEO, President, and senior distribution and operations executives on capital raising, product structuring, and strategic partnerships.
• Balance business growth objectives with prudent regulatory risk management.
• Lead selection and oversight of outside counsel, ensuring cost efficiency and quality.
• Help shape a firm‑wide culture of integrity, transparency, and investor protection.

Candidate Profile

Experience

• 15+ years of progressive legal and compliance leadership in asset management or financial services.
• Direct experience with registered investment companies (interval funds, mutual funds, ETFs, BDCs) under the Investment Company Act of 1940.
• Strong working knowledge of the Advisers Act, Securities Act of 1933, Exchange Act of 1934, and FINRA/AML obligations.
• Prior designation as a…