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Head of Legal & Compliance - North America

New York, United States

Tower Peak Partners is a private markets investment firm launched in 2024. It is headquartered in London and has offices in New York and Rio de Janeiro. The firm is a collective of highly-skilled and recognisable investment professionals and industry executives from around the world. Tower Peak Partners manages thematic investment funds for institutional investors and principal investments through its own balance sheet. The Firm's investment themes capture opportunities in markets that experience deep structural changes, caused by technological advancements, climate change, socio-economic trends and policy developments.The firm delivers investment strategies to institutional investors around the globe, across private equity, venture capital, real assets and intellectual property asset classes. It has 4 dedicated investment teams, each with an average of 25 years of investment experience in industrial transition, aerospace & defense, media, entertainment & sports, and social impact.

Role Summary

The Head of Legal & Compliance – North America, based in New York, supports the Firm’s General Counsel and Chief Compliance Officer in overseeing the all regulatory and legal matters across all of the firm’s offices in the United States. They are responsible for responsible for overseeing all legal and ethical matters, ensuring the company operates in compliance with federal, state, and local laws, and mitigating legal risks.

The individual will maintain authority and accountability for all legal and regulatory matters of the firm in the region and will act as a trusted advisor to both regional and group-level executives. They will be an integral member of the North American leadership team.

This role involves providing legal counsel, developing and implementing compliance policies, drafting and negotiating contracts, managing litigation, conducting training, and supervising the firm’s North American legal and compliance department.

As a Principal, the role is primarily accountable for fulfilling their responsibilities, while also acting as a driving force for ideas and strategic input at executive level and globally.

Key Responsibilities

Legal Strategy & Resource Management

  • Advise executive leadership and various departments on a wide range of legal issues, including contracts, intellectual property, employment, and corporate governance.
  • Identify, assess, and mitigate legal and compliance risks across the organization.
  • Draft, review, and negotiate legal documents, agreements, and contracts. Manage and represent the company in legal proceedings, often working with outside counsel.
  • Leading and managing all legal aspects of mergers and acquisitions (M&A), leveraged buyouts, growth equity investments, and exits. This includes structuring, negotiating, drafting, and closing complex transactions.
  • Partnering with investor relations teams and external counsel on the legal and regulatory aspects of fund formation, marketing, and ongoing operation, as well as capital calls and distributions.
  • Managing external legal advisors (outside counsel) effectively, and controlling legal spend. 

Firm Regulatory Compliance

  • Ensure the company meets all notification and reporting requirements from regulatory bodies and stays current with changes in laws and regulations.
  • Design and deliver training programs to employees at all levels to ensure they understand and comply with policies and regulations.
  • Support internal and external investigations and audits related to compliance issues.
  • Conduct regular compliance risk assessments to identify vulnerabilities and prioritize risks based on potential impact, implementing controls to mitigate them.

Firm Governance & Leadership

  • Create, implement, and oversee compliance management strategies, policies, and procedures to ensure adherence to all applicable laws and internal policies.
  • Serve as the primary point of contact for regulatory agencies (e.g., SEC, FinCEN) and external auditors, managing communications, audits, and investigations.
  • Monitor changes in legislation and regulatory requirements, adapting policies as necessary and providing regular, transparent reports and updates to senior management and the board of directors.

Candidate Profile

Qualifications & Experience

  • A Juris Doctor (J.D.) degree from an accredited law school and active membership in a US state bar.
  • Minimum 15 years of experience as a licensed lawyer working in the financial industry with a blue chip investment firm or with an established law firm in a financial practice.
  • Proven track record in the investment industry, with strong preference for experience in private equity.
  • Strong command of industry best practices and legal and regulatory compliance standards, risk management frameworks, and governance practices.
  • Deep knowledge of relevant U.S. laws and regulations (e.g., SOX, FCPA, AML, data privacy laws like CCPA).
  • Excellent communication, negotiation and leadership skills.
  • Have experience of advising executive teams and company boards on legal and compliance matters.

Personal Attributes

  • Strong analytical, problem-solving, and decision-making skills.
  • High integrity, resilience and sound judgment.
  • Ability to work effectively across cultures and time zones.
  • Strong leadership and influencing skills.
  • Language skills or international professional experience are strong attributes.

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