VP Legal/Deputy Chief Compliance Officer
- Operations & Finance
- San Francisco, CA
2023-03-23 11:57:30 UTC
Fin Capital is seeking an experienced, entrepreneurial VP of Legal and Deputy Compliance Officer to lead, manage and implement strategic and tactical legal matters and compliance initiatives for the firm as a Registered Investment Adviser. This is an opportunity to join as the firm’s first legal hire, design and own the firm’s legal approach, manage firm, fund, and deal level legal processes along with outside counsel.
Description of Duties:
Lead the review of transaction matters with respective investment team members and as necessary outside counsel including but not limited to: drafting term sheets, MRL’s, pro forma ownership models, deal/round documents, and other deal structuring documentation
Execution on required obligations for the firm’s compliance program as a Registered Investment Adviser including SEC filings and oversight of implementation of the firm’s Compliance Manual and respective processes and procedures in addition to overall GRC matters
Direct involvement in supporting the firm’s fundraising and investor relations activities including but not limited to Fund formation documents, preparation of Offering Documents, managing subscription documents, marketing materials and working closely with finance and investments teams to design appropriate materials to address investor inquiries and respective due diligence
Assist in enhancing business operations including creating employee agreements, operating agreements, negotiations and vendor contracts, NDA management, and review of critical risk matters for the overall firm
This role is ideal for an entrepreneurial mid-level attorney with experience working with technology companies and deal structuring and wants to transition to an “in-house” operating position at a technology-focused firm and grow into a potential leadership role as the firm’s long term GC/CCO.
6+ years of relevant legal experience, including prior in-house experience at a FinTech, financial institution, technology company and/or law firm experience
JD degree from an accredited law school and a member in good standing with a U.S. bar.
Strong business judgment, risk, time and project management skills to be able to execute beyond core legal areas.
Strategic business leader and a value-added profession al across all teams
Legal experience working on SEC/RIA matters is a plus, but not required.
Strong oral and written communication skills.
Financial analytical capabilities are required.
Strong experience working with Microsoft Office applications, including Word, PowerPoint and Excel.
Entrepreneurial mindset including flexibility and desire in taking on diverse responsibilities to support the firm’s growth and working on a closely knit and global team.
Location: Any of Fin’s US offices (SF, NYC, LA, Miami)
Reporting: The role will report into the firm’s Partner/CFO/CCO, Marcella McColl with direct interaction to the Managing Partner, Logan Allin, and the rest of the investment team
Compensation: Commensurate with experience to include a cash component, full coverage of health benefits, and carried interest/profit sharing in the firm’s funds.
Fin Capital is a full lifecycle global asset manager exclusively focused on FinTech software. We invest from pre-seed to pre-IPO along with the public markets. As ESG investors, we seek impact on several dimensions and our mission is to build a long-term legacy for our investors, founders, firm and team members – the "Fin Family." We are passionate about rolling up our sleeves and partnering with repeat entrepreneurs that have deep financial services experience, audacious goals, differentiated products, and a global platform mindset.
We call ourselves "FinTech Nerds with Capital" as we are operators at our core with deep corporate and start-up leadership experience - we know intimately what it’s like to walk in entrepreneurial shoes. Through our "OS" Lighthouse and hands-on operating playbook, we add meaningful value beyond capital throughout the partnership lifecycle.
Read more about us here: https://fin.capital