DaGrosa Capital Partners LLC · 2 days ago
General Counsel/ Chief Compliance Officer
Miami, FL
Full-time
Onsite
Director/Executive
$250K/yr - $250K/yr
15+ years expDaGrosa Capital Partners LLC is a rapidly growing alternative investment platform seeking an accomplished General Counsel & Chief Compliance Officer. The GC/CCO will lead all legal, compliance, and governance matters, serve as the primary contact with regulators, and partner with senior leadership on strategic initiatives and product innovation.
Venture Capital
Hiring Manager
Joseph DaGrosa, Jr.
Responsibilities
Serve as General Counsel to the management company and affiliated entities, advising the CEO and Boards on legal, regulatory, and governance matters
Oversee regulatory frameworks for publicly registered interval funds and broader ’40 Act compliance programs
Manage adviser registration and regulatory filings (Form ADV, N-CEN, N-PORT, N-CSR, etc.) and ensure timely, accurate SEC submissions
Lead regulatory correspondence, examinations, and engagement with the SEC Division of Investment Management and FINRA
Advise on new product development, distribution structures, and strategic joint ventures
Negotiate and manage contracts with fund administrators, custodians, auditors, sub-advisers, legal counsel, and technology providers
Serve as Chief Compliance Officer under Rule 38a-1 and Rule 206(4)-7
Oversee compliance testing, monitoring, and annual reviews; present findings to fund boards and Audit & Compliance Committees
Implement and maintain AML/KYC, privacy, cybersecurity, and code-of-ethics programs aligned with SEC and FINRA standards
Review and approve marketing and sales materials across digital, RIA, and broker-dealer channels
Advise fund boards and trustees on fiduciary duties, governance best practices, and regulatory developments
Prepare and present board materials, including 15(c) reviews, compliance reports, valuation oversight, and risk assessments
Coordinate closely with independent trustees, administrators, auditors, and outside counsel to maintain best-in-class governance
Partner with the CEO, President, and senior leadership on capital raising, product structuring, and strategic partnerships
Balance growth initiatives with disciplined regulatory risk management
Select, manage, and oversee outside counsel with a focus on quality and cost efficiency
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
Deep knowledge of the Advisers Act, Securities Act of 1933, Exchange Act of 1934, and FINRA/AML requirements
Demonstrated success managing 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
Practical, collaborative advisor who thrives in a lean, entrepreneurial environment
Comfortable operating at the intersection of innovation and regulatory rigor
Credible, effective communicator with regulators, trustees, investors, and senior executives
Demonstrated integrity, judgment, and hands-on leadership
Preferred
Prior designation as Chief Compliance Officer under Rule 206(4)-7 and/or Rule 38a-1 strongly preferred
Experience with alternative investments and private fund structures strongly preferred
Familiarity with interval fund mechanics (repurchase programs, NSCC/FundServ, custodians) a plus
Strong academic background; LL.M. or advanced securities training desirable
Benefits
Comprehensive executive benefits package – Medical
401K
Company
DaGrosa Capital Partners LLC
DaGrosa Capital Partners LLC (“DCP”) is an investment management firm based in Miami
11-50 employees
Funding
Current Stage
Early StageLeadership Team
David McNichols
Partner
Martha Bejar
Senior Partner
Recent News
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