General Counsel & Chief Compliance Officer

General Counsel & Chief Compliance Officer
Pensacola, FL | Full-Time

SWAN Capital is bringing its compliance and fund-formation legal work in-house. We're looking for an attorney to serve as our firm's designated Chief Compliance Officer under the Investment Advisers Act, own our regulatory compliance program end-to-end, and directly draft the private fund documentation and filings currently handled by outside counsel.

What You'll Do

RIA Compliance Program

• Serve as the firm's designated Chief Compliance Officer under Rule 206(4)-7
• Develop, administer, and annually review written compliance policies and procedures
• Design and execute a risk-based compliance testing program
• Conduct annual risk assessments and maintain the firm's risk matrix
• Administer the firm's Code of Ethics, including personal trading and gifts/entertainment monitoring
• Prepare and file Form ADV (Parts 1 and 2/Firm Brochure), U4/U5, and Annual IARD renewals
• Conduct advertising and marketing review for compliance with the SEC Marketing Rule
• Deliver employee compliance training
• Lead SEC examination readiness, including data gathering and deficiency letter responses
• Conduct risk-based reviews of the Daphne branch office
• Monitor regulatory changes and communicate impact to leadership

Private Fund & Entity Filings

• Draft and maintain Private Placement Memoranda (PPMs)
• Draft and maintain Limited Partnership Agreements (LPAs)
• Draft and maintain subscription agreements for private offerings
• Register and maintain entities in Delaware and Florida
• Prepare and file Blue Sky notices in applicable states

What You Bring

Required

• Juris Doctor (JD), active bar admission
• 2+ years of experience in securities/investment adviser compliance, fund formation, or both
• Direct experience drafting PPMs, LPAs, and subscription agreements
• Strong working knowledge of the Investment Advisers Act, including Rule 206(4)-7 and the Marketing Rule
• Experience preparing and filing Form ADV, U4/U5, and IARD renewals
• Familiarity with multi-state Blue Sky filing requirements

Preferred

• Series 65 license
• Prior experience as a firm's Named CCO
• Delaware/Florida entity formation experience

Benefits: 401(k), health insurance, paid time off (confirm final package)
Compensation: $90,000–$150,000, based on experience (pending final confirmation)
Work Location: Pensacola, FL — In person