Axxes Capital · 3 hours ago
General Counsel & Chief Compliance Officer
Miami, FL
Full-time
Onsite
Director/Executive
15+ years expAxxes Capital is a rapidly growing alternative capital platform based in Miami, democratizing access to private markets for investors. They are seeking an accomplished General Counsel and Chief Compliance Officer to oversee legal, compliance, and governance matters, while partnering with senior leadership on strategic initiatives and ensuring regulatory excellence as the platform scales.
AdviceFinanceFinancial Services
Responsibilities
Serve as General Counsel for the management company and affiliated entities, advising the CEO and Board on all legal and governance matters
Oversee regulatory frameworks for publicly registered interval funds and related ’40 Act compliance programs
Manage adviser registration and disclosure filings (Form ADV, N-CEN, N-PORT, N-CSR, etc.) and ensure timely SEC submissions
Lead regulatory correspondence, examinations, and engagement with SEC Division of Investment Management and FINRA
Provide counsel on new products, distribution structures, and joint ventures
Negotiate and manage third-party vendor, sub-advisory, and fund-service provider contracts (administration, custody, audit, legal, and technology)
Serve as Chief Compliance Officer for the management company and each registered fund under Rule 38a-1 and Rule 206(4)-7
Oversee testing, monitoring, and annual reviews of compliance programs, presenting findings to the Board’s Audit & Compliance Committee
Implement robust AML/KYC, privacy, cybersecurity, and code-of-ethics frameworks aligned with SEC and FINRA standards
Review and approve all marketing and sales materials to ensure regulatory compliance across digital, RIA, and broker-dealer channels
Advise Boards of Directors and Trustees on fiduciary duties, governance practices, and regulatory developments
Prepare and present fund-board materials, including 15(c) contract reviews, compliance reports, valuation summaries, and risk assessments
Coordinate with administrators, auditors, and independent trustees to maintain best-in-class governance standards
Collaborate with the CEO, President, and senior distribution and operations executives on capital raising, product structuring, and strategic partnerships
Balance business growth objectives with prudent regulatory risk management
Lead selection and oversight of outside counsel, ensuring cost efficiency and quality
Help shape a firm-wide culture of integrity, transparency, and investor protection
Qualification
Required
15+ years of progressive legal and compliance leadership in asset management or financial services
Direct experience with registered investment companies (interval funds, mutual funds, ETFs, BDCs) under the Investment Company Act of 1940
Strong working knowledge of the Advisers Act, Securities Act of 1933, Exchange Act of 1934, and FINRA/AML obligations
Proven track record in SEC examinations, fund launches, and board reporting
J.D. from an accredited U.S. law school; admitted to practice in Florida or eligible for in-house counsel registration
Collaborative, practical advisor who influences effectively in a lean environment
Thrives at the intersection of entrepreneurship and regulatory rigor
Exceptional communicator with credibility before regulators, trustees, and investors
Demonstrated integrity, discretion, and hands-on leadership consistent with a high-performance culture
Preferred
Prior designation as a Chief Compliance Officer under Rule 206(4)-7 and/or Rule 38a-1 strongly preferred
Exposure to private fund structures and alternative investments a plus
Familiarity with FundServ/NSCC operations, interval fund share repurchases, and clearing or custodian relationships preferred
Strong academic record; advanced training or LL.M. in Securities Law desirable
Benefits
Comprehensive executive benefits package.
Company
Axxes Capital
Axxes Capital is a financial company that equips financial advisors to offer cutting-edge solutions for the private sector.
11-50 employees
Funding
Current Stage
Early StageTotal Funding
unknownKey Investors
Banco Mercantil Santa Cruz
2024-08-26Series A
Leadership Team
Joseph DaGrosa
CEO
Ari Bass
President
Recent News
2025-11-24
2025-10-15
Company data provided by crunchbase