Alumni Ventures Group is searching for General Counsel and Senior Compliance Officer who will be responsible for ensuring the organization operates in a legal and ethical manner while meeting business goals and fulfilling our mission. The General Counsel & Senior Compliance Officer will provide guidance, advice and consultation on a variety of initiatives related to AVG’s business. 


Alumni Ventures Group is a fast-growing company with over 100 employees.  Our mission is to grow and engage with an inclusive community of teammates, investors, and entrepreneurs disrupting the status quo in order to build a better future. AVG provides accredited investors with a smart, simple way to own a high-quality, actively-managed venture portfolio.  Today, we serve roughly 4,000 investors, hundreds of startups, and have a newsletter subscription list of over 500,000.  Our corporate headquarters in Manchester, NH provides support and resources to our fund teams in Boston, New York, Chicago, and San Francisco. 


Today, AVG delivers a direct-to-retail approach to thousands of accredited individual investors.  Our product is simple: actively-managed VC portfolios with community. Our portfolios are diversified across stage, sector, geography, and lead investor.  We are co-investors who co-invest alongside strong, professional lead VC investors.  The General Counsel & Senior Compliance Officer at AVG will quickly develop a strong understanding of our business, products and sales channels in order to provide the team with, and participate in the execution of, an appropriate legal and compliance strategy through efforts and collaboration across functions and with outside legal partners to proactively address all legal and compliance issues.  We are building a business committed to assuring the company practices, policies and procedures comply with regulatory and ethical standards.

Success for this role will be achieved through the development of a comprehensive legal and compliance function, accessed by and providing a high level of service to multiple groups including AVG’s Finance, Legal, Human Resource, Marketing, Investing and Technology functions and to outside counsel (Perkins Coie nationally and other firms locally) as well as additional legal & compliance resources. The General Counsel & SCO will be based in either AVG’s Manchester, NH headquarters or Boston, MA office and will travel frequently between the two locations.  A minimal amount of additional travel may be necessary to fulfill the expectations of the role.



In addition to salary:

Equity in AVG

Comprehensive Benefits and Wellness plan including Health, Dental, Vision

Paid parental leave

401K Retirement plan

Unlimited Time Off

Flexible Schedule




  • Pro-active development of sound policies and practices in the service of our investors, teammates, and owners
  • Favorable legal outcomes recognized as a result of the above, along with a clear roadmap and measurable progress towards continuous improvement
  • Strong institutional understanding and adherence
  • Effective and well-managed relationships, including workflow and budget, with outside legal and compliance partners


  • Work with AVG’s senior management, Finance, HR, Marketing, registered representatives and other key constituencies to train, promote and ensure a culture that encourages legal, ethical business practices and compliance with applicable laws and regulations
  • Work cross functionally with AVG leadership and the Talent & HR team to develop a communications and education program to inform and educate AVG’s Board of Directors, leadership team, staff and other stakeholders, as appropriate, on compliance best practices and recommendations
  • Serve as the responsible party for the formation of business entities and funds and all related legal matters
  • Identify potential regulatory & compliance risks relative to AVG’s position in the industry, business model and products and work with AVG’s management team to review and update internal policies and practices accordingly
  • Participate in structuring new products and other related product development initiatives, providing compliance support throughout and following product development
  • Serve as a liaison and central point of contact with regard to AVG’s Broker relationship, ensuring efficient and effective communications and compliance with regulation related practices across the organization
  • Serve as AVG’s primary point of contact and manage relationships and communications with all applicable regulatory bodies as well as all matters pertaining to federal, state and international securities laws or regulation.
  • Maintain sufficient, up to date industry and regulatory knowledge to serve as an expert consultant and manager of compliance for AVG’s business and management team
  • Implement and manage an effective and accessible legal compliance program for AVG
  • Oversee and facilitate inquiries and investigations, both internally and externally initiated, to ensure compliance and the legal and ethical conduct of AVG’s business
  • Assist regulators, auditors, compliance personnel and business unit management with regulatory exams and inquiries
  • Create and manage effective action plans in response to audit discoveries and compliance violations.
  • Build and maintain an efficient and comprehensive filing and record-keeping system, including managing the preparation and practice of filing of all required documents including filings with regulators
  • Develop and deliver on a regular reporting and communication program to ensure AVG’s management and appropriate stakeholders receive regular and consistent updates related to compliance
  • Address and appropriately resolve employee concerns about legal compliance
  • Support compliance efforts related to advertising, marketing, sales, supervisory oversight, training, email surveillance, branch office exams, regulatory examinations, FINRA licensing and registrations
  • Assist in updating and revising of investment vehicles’ offering materials
  • Provide support to AVG’s investment teams, Office of Investment, fund accounting and corporate finance functions relating to the management of AVG’s investments




  • Superior analytic intelligence, engagement and ability to handle complexity
  • Disposed to think critically and propose business-oriented solutions developed with excellent judgement, creativity and technical expertise
  • Willing to build and maintain strong relationships/credibility with relevant internal stakeholders, outside counsel, consultants and regulators
  • Can execute strategy with appropriate urgency and, at the same time, with respect for details and complexities
  • Works well both independently and in collaborative partnership with a team or diverse group of stakeholders
  • Capable of working in a highly autonomous environment, driving projects and initiatives forward independently while maintaining consistent and appropriate cross-functional communication with multiple stakeholders
  • Thrives in a fast-paced, rigorous work environment requiring fast-paced execution and delivery
  • Exceptional decision making relative to discretion and confidentiality
  • Highly-analytical with strong attention to detail


  • Bachelor’s degree in law, finance, business management or a related field
  • Juris Doctorate strongly preferred
  • Series 7 and 24 licenses strongly preferred
  • Other appropriate licenses as needed


  • 10+ years of relevant legal experience at the in-house legal department of a venture capital or other relevant financial services firm
  • Significant tenure in a leadership role with a startup or high growth organization, including experience with corporate fundraising, equity offerings, distributions, buybacks, and other cap table functions.
  • Successful experience standing up or reorganizing the legal function within a fast-paced, execution oriented organization
  • Private equity, fund formation, securities laws, and credit/lending experience are a significant plus
  • Experience initiating, directing, developing, implementing and maintaining policies and procedures governing compliance activities
  • Experience with raising capital in a regulated environment.


  • Thorough knowledge of legal requirements and procedures, sufficient to provide directional guidance early in processes or conversation
  • Extremely effective oral and written communication skills, especially for distilling compliance and related concepts into straightforward recommendations relative to the business
  • Able to distill and synthesize large amounts of information with emphasis on identifying legal, regulatory, compliance, accounting, practical and other issues
  • Thorough knowledge of the broker-dealer business from a product, corporate governance, compliance and administrative perspective
  • Strong knowledge of all applicable regulatory body rules & regulations, including marketing/advertising requirements
  • Strong subject matter expertise in marketing review, including the maintenance of a marketing material and collateral review program for retail products
  • Excellent ability to interpret and communicate regulatory guidance
  • Proven ability to interact with and influence members of senior management and a highly entrepreneurial marketing and sales force

Apply for this Job

* Required


U.S. Equal Opportunity Employment Information (Completion is voluntary)

Individuals seeking employment at Alumni Ventures Group are considered without regards to race, color, religion, national origin, age, sex, marital status, ancestry, physical or mental disability, veteran status, gender identity, or sexual orientation. You are being given the opportunity to provide the following information in order to help us comply with federal and state Equal Employment Opportunity/Affirmative Action record keeping, reporting, and other legal requirements.

Completion of the form is entirely voluntary. Whatever your decision, it will not be considered in the hiring process or thereafter. Any information that you do provide will be recorded and maintained in a confidential file.

Race & Ethnicity Definitions

If you believe you belong to any of the categories of protected veterans listed below, please indicate by making the appropriate selection. As a government contractor subject to Vietnam Era Veterans Readjustment Assistance Act (VEVRAA), we request this information in order to measure the effectiveness of the outreach and positive recruitment efforts we undertake pursuant to VEVRAA. Classification of protected categories is as follows:

A "disabled veteran" is one of the following: a veteran of the U.S. military, ground, naval or air service who is entitled to compensation (or who but for the receipt of military retired pay would be entitled to compensation) under laws administered by the Secretary of Veterans Affairs; or a person who was discharged or released from active duty because of a service-connected disability.

A "recently separated veteran" means any veteran during the three-year period beginning on the date of such veteran's discharge or release from active duty in the U.S. military, ground, naval, or air service.

An "active duty wartime or campaign badge veteran" means a veteran who served on active duty in the U.S. military, ground, naval or air service during a war, or in a campaign or expedition for which a campaign badge has been authorized under the laws administered by the Department of Defense.

An "Armed forces service medal veteran" means a veteran who, while serving on active duty in the U.S. military, ground, naval or air service, participated in a United States military operation for which an Armed Forces service medal was awarded pursuant to Executive Order 12985.

Form CC-305

OMB Control Number 1250-0005

Expires 1/31/2020

Voluntary Self-Identification of Disability

Why are you being asked to complete this form?

Because we do business with the government, we must reach out to, hire, and provide equal opportunity to qualified people with disabilities1. To help us measure how well we are doing, we are asking you to tell us if you have a disability or if you ever had a disability. Completing this form is voluntary, but we hope that you will choose to fill it out. If you are applying for a job, any answer you give will be kept private and will not be used against you in any way.

If you already work for us, your answer will not be used against you in any way. Because a person may become disabled at any time, we are required to ask all of our employees to update their information every five years. You may voluntarily self-identify as having a disability on this form without fear of any punishment because you did not identify as having a disability earlier.

How do I know if I have a disability?

You are considered to have a disability if you have a physical or mental impairment or medical condition that substantially limits a major life activity, or if you have a history or record of such an impairment or medical condition.

Disabilities include, but are not limited to:

  • Blindness
  • Deafness
  • Cancer
  • Diabetes
  • Epilepsy
  • Autism
  • Cerebral palsy
  • Schizophrenia
  • Muscular dystrophy
  • Bipolar disorder
  • Major depression
  • Multiple sclerosis (MS)
  • Missing limbs or partially missing limbs
  • Post-traumatic stress disorder (PTSD)
  • Obsessive compulsive disorder
  • Impairments requiring the use of a wheelchair
  • Intellectual disability (previously called mental retardation)
Reasonable Accommodation Notice

Federal law requires employers to provide reasonable accommodation to qualified individuals with disabilities. Please tell us if you require a reasonable accommodation to apply for a job or to perform your job. Examples of reasonable accommodation include making a change to the application process or work procedures, providing documents in an alternate format, using a sign language interpreter, or using specialized equipment.

1Section 503 of the Rehabilitation Act of 1973, as amended. For more information about this form or the equal employment obligations of Federal contractors, visit the U.S. Department of Labor's Office of Federal Contract Compliance Programs (OFCCP) website at

PUBLIC BURDEN STATEMENT: According to the Paperwork Reduction Act of 1995 no persons are required to respond to a collection of information unless such collection displays a valid OMB control number. This survey should take about 5 minutes to complete.