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Recruitment began on August 3, 2026 and the job listing Expires on September 3, 2026

Full-time

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General Counsel & Chief Compliance Officer Pensacola, FL | Full-Time SWAN Capital is bringing its compliance and fund-formation legal work in-house. We’re looking for an attorney to serve as our firm’s designated Chief Compliance Officer under the Investment Advisers Act, own our regulatory compliance program end-to-end, and directly draft the private fund documentation and filings currently handled by outside counsel.

What You’ll Do RIA Compliance Program

- Serve as the firm’s designated Chief Compliance Officer under Rule 206(4)-7
- Develop, administer, and annually review written compliance policies and procedures
- Design and execute a risk-based compliance testing program
- Conduct annual risk assessments and maintain the firm’s risk matrix
- Administer the firm’s Code of Ethics, including personal trading and gifts/entertainment monitoring
- Prepare and file Form ADV (Parts 1 and 2/Firm Brochure), U4/U5, and Annual IARD renewals
- Conduct advertising and marketing review for compliance with the SEC Marketing Rule
- Deliver employee compliance training
- Lead SEC examination readiness, including data gathering and deficiency letter responses
- Conduct risk-based reviews of the Daphne branch office
- Monitor regulatory changes and communicate impact to leadership

Private Fund & Entity Filings

- Draft and maintain Private Placement Memoranda (PPMs)
- Draft and maintain Limited Partnership Agreements (LPAs)
- Draft and maintain subscription agreements for private offerings
- Register and maintain entities in Delaware and Florida




- Prepare and file Blue Sky notices in applicable states

Required What You Bring

- Juris Doctor (JD), active bar admission
- 2+ years of experience in securities/investment adviser compliance, fund formation, or both
- Direct experience drafting PPMs, LPAs, and subscription agreements
- Strong working knowledge of the Investment Advisers Act, including Rule 206(4)-7 and the Marketing Rule
- Experience preparing and filing Form ADV, U4/U5, and IARD renewals
- Familiarity with multi-state Blue Sky filing requirements

Preferred

- Series 65 license
- Prior experience as a firm’s Named CCO
- Delaware/Florida entity formation experience

Benefits: 401(k), health insurance, paid time off (confirm final package) Compensation: $90,000–$150,000, based on experience (pending final confirmation) Work Location: Pensacola, FL — In person

Apply Now

General Counsel & Chief Compliance Officer Pensacola, FL | Full-Time SWAN Capital is bringing its compliance and fund-formation legal work in-house. We’re looking for an attorney to serve as our firm’s designated Chief Compliance Officer under the Investment Advisers Act, own our regulatory compliance program end-to-end, and directly draft the private fund documentation and filings currently handled by outside counsel.

What You’ll Do RIA Compliance Program

- Serve as the firm’s designated Chief Compliance Officer under Rule 206(4)-7
- Develop, administer, and annually review written compliance policies and procedures




- Design and execute a risk-based compliance testing program
- Conduct annual risk assessments and maintain the firm’s risk matrix
- Administer the firm’s Code of Ethics, including personal trading and gifts/entertainment monitoring
- Prepare and file Form ADV (Parts 1 and 2/Firm Brochure), U4/U5, and Annual IARD renewals
- Conduct advertising and marketing review for compliance with the SEC Marketing Rule
- Deliver employee compliance training
- Lead SEC examination readiness, including data gathering and deficiency letter responses
- Conduct risk-based reviews of the Daphne branch office
- Monitor regulatory changes and communicate impact to leadership

Private Fund & Entity Filings

- Draft and maintain Private Placement Memoranda (PPMs)
- Draft and maintain Limited Partnership Agreements (LPAs)
- Draft and maintain subscription agreements for private offerings
- Register and maintain entities in Delaware and Florida
- Prepare and file Blue Sky notices in applicable states

Required

- Juris Doctor (JD), active bar admission
- 2+ years of experience in securities/investment adviser compliance, fund formation, or both
- Direct experience drafting PPMs, LPAs, and subscription agreements
- Strong working knowledge of the Investment Advisers Act, including Rule 206(4)-7 and the Marketing Rule
- Experience preparing and filing Form ADV, U4/U5, and IARD renewals
- Familiarity with multi-state Blue Sky filing requirements

Preferred

- Series 65 license
- Prior experience as a firm’s Named CCO
- Delaware/Florida entity formation experience

Perks: 401(k), health insurance, paid time off (confirm final package) Compensation: $90,000–$150,000, based on experience (pending final confirmation) Work Location: Pensacola, FL — In person

📌 General Counsel & Chief Compliance Officer (Saanich)
🏢 The Global Institute for Health and Human Rights
📍 Saanich