US Counsel & Chief Compliance Officer
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Job Location:
New York City, NY - USA
Monthly Salary:
$ 160000 - 190000
Posted on:
30+ days ago
Vacancies:
1 Vacancy
Job Summary
The Company
InvestXwas launched in 2014 with a mission to bring transparency and trust to the private equity market. We are a leading cross-border pre-IPO investor offering access to private equity deals that for many decades were exclusive to a limited investing population.
With over US$500 million in investments and80portfolio companies we work with leading North American registered security firms to offer accredited investors private equity investment opportunities in companies including AirbnbSoFi Spotify DocuSign Patreon and many have successfully launched multiple SPVs (Special Purpose Vehicles) and diversified funds and are about to launch our 5th Fund.
InvestXis backed by leading financial institutions Jefferies Virtu Financial and Canaccord Genuity and has been featured in CNBC Forbes Bloomberg U.S. News Business Insider Reuters The Globe and Mail and many other publications.
The Position
Reporting to the CFO you will work with a team of strong focused professionals who are setting the bar for work in the private markets. You will work in conjunction with InvestXs legal/compliance resources to manage the Companys legal affairs as they relate to US corporate initiatives. This role will navigate through applicable securities laws and regulations in the US review and draft US legal agreements consult with US external counsel on exceptional matters and provide oversight on all US related legal affairs. You will also conduct regulatory analysis and manage all US related compliance responsibilities to assess remediate and monitor compliance risks. You will assume the Chief Compliance Officer role for our Broker-Dealer (BD). Our BD executes trades and offerings of private shares and does not manage client ideal candidate will have experience with US corporate and securities laws experience in a compliance and management capacity and a strong working knowledge of SEC FINRA regulations as they pertain to private placements (under Reg D offerings).
Location: New York NY (Hybrid 3 days per week in-office)
Responsibilities
- Draft revise and negotiate agreements on behalf of theCompany as related to US securities laws/regulations.
- Act as the Chief Compliance Officer for all regulated activities in the US; establish compliance programs and processes in accordance with best practices and knowledge of the regulatory environment.
- Educate and train Company personnel on current and impending regulations as well as industry best practices.
- Knowledge ofUSlegal/compliance requirements and related internal controls
- Familiarity with industry practices and professional standards
- Work side by side with Canadian legal and compliance resources
- Review and revisesales andmarketing materials website terms of use Altigo account reviews and other collateral items for compliance withapplicable USfederal and statelaws and regulations.
- Monitor and assist in the management of US-related corporate initiatives.
Qualifications
- 3 years ofrelatedlegaland complianceexperience required.
- Admitted to practice in New York and in good standing.
- Proven experience in drafting and negotiating commercialandsecuritiesagreements.
- A self-motivated entrepreneurial and outside the box thinker with excellent time management and interpersonal skills.
- Ability to manage changing priorities and a diverse range of legal duties and a desire to innovate and excel.
- Possess a high level of independence initiative creativity and attention to detail using excellent business judgment as well as strategic thinking skills.
- Financial services industry experience strongly preferred including any experience withSEC FINRArelatedregulationsprivate placement broker-dealers RIAs private fund formationlegal entity filingsand corporate governance.
- FINRA Series 24 an asset willingness to achieve licenses as a requirement.
- The primary focus is the U.S.; may include some international commercial work.
Salary & Benefits
- Actual salaries may vary based on factors such as skill experiencelocationand qualifications for therole.
- 2025 range is $160000 - $190000 USD plus incentive plan and equity.
- Comprehensive Health & Benefit plan
If this opportunity sounds like it is a good match with your skillsbackgroundand career direction please apply through our Careers Page ( with your cover letter and resume.
InvestXwelcomes applications from all qualified candidates including women persons with disabilities aboriginal peoples indigenous peoples visible minorities race color religion sex sexual orientation gender identity or national origin. Reasonable accommodation for applicants with disabilities is available upon request in connection with the recruitment you have any questions about this jobpostingplease contact
Required Experience:
Senior IC
Key Skills
- Compliance Management
- Risk Management
- Financial Services
- PCI
- Banking
- Cost Accounting Standards
- Quality Systems
- Research Experience
- NIST Standards
- Securities Law
- SOX
- ISO 27000
About Company
InvestX offers broker dealers access to invest and trade in late-stage private equity without the traditional multimillion-dollar investment minimums.
