Chief Compliance & General Counsel

A newly formed, de novo bank focused on private credit and private equity investment activities for accredited investors is seeking a Chief Compliance & Legal Counsel.

This is a senior leadership role responsible for building and overseeing the institution’s legal and regulatory compliance framework from inception.

The successful candidate will serve as a trusted advisor to executive management and the Board, playing a foundational role in shaping the bank’s governance, legal strategy, and regulatory posture.

Responsibilities

• Serve as chief legal officer, advising executive leadership and the Board on legal and regulatory matters.
• Interpret and apply federal and state banking laws and regulations applicable to a Federal Reserve–regulated institution.
• Advise on legal structures, documentation, and disclosures related to private credit, private equity, and alternative investment activities.
• Draft, review, and negotiate investment-related agreements, offering materials, subscription documents, and vendor and service provider contracts.
• Establish and oversee corporate governance frameworks, including Board and committee materials, charters, and regulatory correspondence.
• Design, implement, and maintain a comprehensive compliance management program aligned with investor-facing banking activities.
• Oversee compliance with applicable regulations, including BSA/AML, OFAC, privacy, conflicts of interest, and disclosure obligations.
• Lead regulatory interactions, examinations, and ongoing supervision with the Federal Reserve and other applicable authorities.
• Build and scale the legal and compliance function as the institution grows.

Qualifications

• Juris Doctor (JD) from an accredited law school; active bar membership in good standing.
• 10 years of progressive legal and compliance experience within banking, alternative investments, or regulated financial institutions.
• Strong experience advising on private credit, private equity, or alternative investment structures for accredited investors.
• Deep knowledge of U.S. banking regulations and Federal Reserve supervisory expectations.
• Experience engaging directly with regulators, Boards, and senior executives.
• Ability to build legal and compliance programs in a de novo or growth-stage environment.
• Strong judgment, executive presence, and hands-on leadership style.