General Counsel & Chief Compliance Officer

General Counsel & Chief Compliance OfficerAlexander Chapman is representing an established and growing financial services organization seeking a General Counsel & Chief Compliance Officer to join its leadership team in the Los Angeles Metropolitan Area.This is a hands-on role with broad responsibility across legal, regulatory, compliance, and strategic matters, working closely with senior decision-makers across the business.Key ResponsibilitiesProvide senior-level legal and regulatory guidance across the organization.Oversee and support the firm’s compliance framework, policies, and internal controls.Manage regulatory inquiries, examinations, filings, and ongoing compliance obligations.Advise on securities and investment-management regulatory matters.Review and negotiate key client, commercial, and business agreements.Identify legal and compliance risks and develop practical solutions.Support strategic transactions, including legal and regulatory due diligence and integration matters.Work closely with leadership and external advisors on sensitive legal, compliance, and risk issues.QualificationsJD from an accredited law school.Active California Bar membership in good standing.Legal and compliance experience within investment management, wealth management, securities, or another regulated financial-services environment.Strong understanding of the regulatory framework applicable to SEC-registered investment advisers.Experience with regulatory examinations, filings, compliance programs, and regulatory inquiries.Exposure to M&A, transaction diligence, and post-close integration.Experience reviewing and negotiating commercial or client-facing agreements.Clean regulatory history and relevant securities registrations/licenses.Strong judgment, communication skills, and ability to operate independently with senior stakeholders.

Location: Los Angeles Metropolitan AreaWork Arrangement: On-siteLevel: Senior LeadershipCompensation: Up to $330,000 base + bonus