Manage legal and compliance departments for mid-sized investment adviser as a business-oriented member of the senior management team to foster a collaborative partnership. Manage boards of directors and oversee corporate governance functions. Respected leader employing a team-oriented and practical approach to mitigate risk, reduce costs, leverage creativity, and achieve collective buy-in from multiple stakeholders. Oversee, empower, and enable legal and compliance teams to function as engaged partners finding the best path to successful business outcomes.Executive Leadership and Corporate Governance Responsibilities.• Advise senior executive leadership responsible for overall corporate strategy, vision, and succession planning regarding business and legal challenges within an industry that is undergoing substantial consolidation and significant disruption. • Oversee human capital management matters including diversity, employment policies, investigations, hiring, and redundancies. • Manage board of directors meetings and governance matters for registered investment adviser and mutual funds.• Anticipate and identify legal risks and recommend practical mitigation strategies.Legal and Compliance Leadership and Management Responsibilities. • Constructively partner with the business. • Manage and oversee internal/external legal and compliance counsel and consultants.Litigation Management and Mitigation.• Oversee all litigation matters, claims, and disputes.Regulatory Compliance.• Oversight of firm SEC, DOJ, and other regulatory audits, exams, and inquiries.Securities Regulation –Investment Funds, Products, and Advisory Business. • Oversee regulatory functions and day-to-day legal matters for registered investment adviser, registered and private investment funds, private equity funds, separately managed accounts, and high net worth clients.• Transactional practice includes overseeing or leading negotiation of fund agreements, selling agreements, advisory agreements, corporate, master services agreements, IT, NDA/confidentiality, licensing, real estate, distribution platform, employment, and other contracts.