- Posted: over a month ago
Cercano Management LLC is an SEC-registered investment manager focused on ultra-high net worth clients and the entities associated with those clients, such as a family foundation. Cercano is based in Bellevue, WA, with offices in Minneapolis, MN, and Singapore. Cercano invests globally for its clients, commonly operating as the family office Chief Investment Officer. The team has extensive experience in direct investing in all stages of venture capital, private equity, private credit, and public equities on a global basis.
Cercano offers services for all aspects of a client’s assets or family office. The team also has experience working with clients who have significant investments in non-financial assets on a global scale, such as fine art, professional sports teams, entertainment properties, intellectual property, commercial real estate, farmland, and personal residential estates.
We are currently seeking an in-house Counsel who will play an integral role in Cercano’s Legal and Compliance Department directly supporting the GC/CCO. The Counsel will be responsible for supporting the Firm’s legal and compliance needs alongside the Firm’s GC/CCO and Associate General Counsel and in partnership with the Firm’s external legal and compliance advisers.
This position provides an excellent in-house opportunity for law firm associates or compliance consultants with 2 years of investment management experience. The role will have exposure to a broad variety of complex legal and compliance matters pertaining to Firm’s investment management and advisory services across venture capital, private equity, private credit, and public equities, as well as assisting in the management of the Firm’s compliance program.
Additionally, the candidate will be joining a team of good-natured and thoughtful professionals. We welcome energetic, bright candidates who share these professional values. Applicants of all backgrounds are encouraged to apply.
ESSENTIAL DUTIES AND RESPONSIBILITIES
- Manage the Firm’s various legal entities and corporate legal structure charts
- Assist in the corporate contractual management, and provide support to business development
- Assist and coordinate on general legal and fund governance matters across the Firm
- Review, negotiate and draft day-to-day legal agreements, including SPV entity formation documents, nondisclosure agreements, vender and service provider agreements, and other routine legal agreements
- Collaborate with and support the Firm’s investment, finance, operations and marketing professionals to ensure the Firm’s legal needs are being met with responsive, commercial legal guidance
- Monitor new regulatory developments and update policies and procedures accordingly
- Ensure the Firm is SEC exam-ready by proactively managing and implementing the Firm’s compliance program
- Supervise outside compliance consultants on regulatory filings such as ADV, PF, 13H, 13G and non-US filings with the Monetary Authority of Singapore
- Monitor compliance with the Code of Ethics, as well as policies, procedures and protocols, including personal trading, outside business activities and gifts and entertainment through the Firm’s compliance software, Paragon Data Labs
- Assist in periodic and annual reviews and testing of the Firm’s policies and procedures
- Assist with review and upkeep of marketing materials and client reports
- Assisting with maintenance, organization and filing of compliance books & records
To perform this job successfully, an individual must be able to perform each essential duty satisfactorily. The requirements listed below are representative of the knowledge, skill, and/or ability required. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.
- Possess high moral character, professional integrity and discretion
- J.D. from accredited law school and active bar admission in good standing
- 2 years of relevant experience at a law firm, compliance consulting firm, or financial services firm
- Working knowledge of the Investment Advisers Act of 1940
- Fund formation and investment management agreement drafting experience
- Excellent organizational, writing, and interpersonal skills. Must be highly organized and detail oriented and able to work both collaboratively and independently.
- Professional demeanor, resourceful and able to handle multiple and changing priorities.
- Strong work ethic and commitment to excellence.
- Ability to work well in a fast-paced environment with a demonstrated sense of urgency, responsiveness, and commitment.
- Hybrid work schedule with preference for three days per week at Cercano’s Bellevue, WA office
- Proficiency in SharePoint and Microsoft Office software (e.g. Word, Excel, OneNote, Teams, PowerPoint, and Outlook)
Cercano Management LLC is an equal opportunity employer. Every qualified applicant will be considered for employment. We do not discriminate based on race, color, religion, gender, sexual orientation, age, national origin, marital status, sex, disability, political ideology, or veteran status, or other protected class.
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