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Interim Compliance Counsel

Job

Major, Lindsey & Africa

Remote

$187,200 Salary, Full-Time

Posted 1 week ago (Updated 3 days ago) • Actively hiring

Expires 7/1/2026

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Job Description

Interim Compliance Counsel at Major, Lindsey & Africa Interim Compliance Counsel at Major, Lindsey & Africa in Huntington Beach, California Posted in 5 days ago.

Type:

full-time

Job Description:

Major, Lindsey & Africa's Interim Legal Talent group has an immediate need for a commercial counsel

Overview :

Our client is seeking an experienced Compliance Counsel to assist on full-time basis for the next 6+ months.

Company:

Globally recognized investment advisory firm

Experience:

5+ years of experience, financial services industry, in high paced environment

Location:

Onsite 3 days per week in Newport Beach, inside Fashion Island Districts. Mon/Wed/Thursday on site, Tues/Thurs remote. • client will consider fully remote, for an exceptional candidate.

Responsibilities Include:

Support all aspects of the firm's compliance program, including: Annual 206(4)-7 compliance review Develop, implement, and maintain compliance policies, procedures, and internal controls. Review of marketing materials, research papers, etc. Preparing and submitting regulatory filings (eg. Form ADV, etc.) Oversee compliance testing, monitoring, and risk assessments to ensure adherence to the firm's Code of Ethics and regulatory obligations. Draft, negotiate and manage vendor, client and corporate agreements Advise on legal and regulatory issues relating to investment management, including the Investment Advisers Act, Investment Company Act, and related securities laws. Support filings and registrations (Form ADV, Form PF, etc.) and assist with regulatory examinations and audits. Provide support to Human Resources and related employment matters

Qualifications Include :

4 to 6 years of combined experience in a law firm and/or in-house legal/compliance role focused on investment management or asset management J.D. degree from an accredited law school and active license in good standing. Familiarity with a full range of advisory products and services, including mutual funds, UCITS funds, separately managed accounts and indices Familiarity with the index business is a plus Superior judgment, and the ability to identify issues and make reasoned decisions in a fast-paced environment Pay rate: $90 Information regarding benefits can be found on MLA's Website on the

Consultant Resources Page:

https://www.mlaglobal.com/en/consultant-resources All interested and qualified candidates should apply directly with Major, Lindsey & Africa for review and consideration. Major, Lindsey & Africa does not discriminate against applications on the basis of age, sex, race or any other protected characteristics pursuant to applicable state or federal laws.

Bullhorn ID:

252290