Tower Peak Partners · 2 months ago
Head of Legal & Compliance - North America
New York, NY
Full-time
Onsite
Director/Executive
15+ years expTower Peak Partners is a private markets investment firm launched in 2024, headquartered in London with offices in New York. The Head of Legal & Compliance – North America will oversee all regulatory and legal matters across the firm's U.S. offices, ensuring compliance with laws and mitigating legal risks while providing strategic legal counsel.
Asset ManagementSustainabilityVenture Capital
Responsibilities
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
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
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
Qualification
Required
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
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
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
Preferred
Strong preference for experience in private equity
Language skills or international professional experience are strong attributes
Company
Tower Peak Partners
Tower Peak Partners is an investment firm that offers property investments, social impact investments, and private equity services.
11-50 employees
Funding
Current Stage
Early StageRecent News
2026-01-14
Private Equity Wire
2025-06-16
Company data provided by crunchbase