Chief Compliance Officer Or Senior Counsel

BCG Attorney Search; Cleveland (OH); On-site; USD 90,000 - 150,000; Full time

Job summary

A prominent law firm in Cleveland is seeking a Chief Compliance Officer or Senior Counsel to lead compliance efforts for its Investment Management division. This strategic role involves guiding financial services clients through complex regulatory landscapes, ensuring adherence to SEC and FINRA rules, and enhancing governance protocols. The ideal candidate will possess extensive experience in compliance within the investment advisory sector and demonstrate strong analytical and leadership skills. Join this forward-thinking firm to make a significant impact on client compliance programs and navigate the evolving regulatory environment.

Qualifications

• 8+ years in compliance roles within investment advisory and broker-dealer sectors.
• Strong command of SEC and FINRA regulations.

Responsibilities

• Lead compliance infrastructures for financial services clients.
• Design regulatory control measures and internal audit processes.

Skills

Compliance Strategy Development

Regulatory Framework Knowledge

Analytical Skills

Communication Skills

Leadership

Education

Juris Doctor (JD)

Job description

Chief Compliance Officer Or Senior Counsel

Company name
BCG Attorney Search

Experience
4-20 yrs required

Location
Cleveland, OH, United States

Posted on
Apr 09, 2025

Valid Through
May 09, 2025

Profile

Job Title

Chief Compliance Officer Or Senior Counsel

Job Overview

A prominent law firm located in Cleveland, OH seeks a seasoned compliance leader or senior-level legal advisor to support its Investment Management division. This strategic position involves guiding sophisticated financial services clients-primarily registered investment advisers and broker-dealers-through the evolving landscape of regulatory compliance, governance, and risk management. The individual selected will work in close alignment with the head of the firm’s Investment Management group, delivering expert-level insight into regulatory frameworks while contributing to the ongoing enhancement of client oversight programs.

Duties

Lead and refine compliance infrastructures for clients within the financial services sector

Design and implement regulatory control measures and internal audit processes

Monitor and interpret updates to SEC and FINRA rules, translating them into practical applications

Collaborate directly with client leadership to enhance governance and risk oversight protocols

Support clients in regulatory examinations and responses

Draft, revise, and ensure implementation of compliance policies and operational procedures

Evaluate and oversee employee conduct, firm activities, and interdepartmental collaboration related to compliance

Deliver strategic advice on client compliance programs, addressing both current requirements and anticipated regulatory developments

Supervise compliance operations and advise on best practices aligned with industry evolution

Requirements

Minimum of 8 years of experience in compliance roles within the investment advisory and broker-dealer space

Extensive knowledge of federal securities laws, including a strong command of SEC and FINRA regulatory frameworks

Proven track record of developing and managing enterprise-wide compliance strategies

Prior experience advising or working with registered investment advisers and broker-dealers

Strong analytical skills with a strategic, forward-thinking mindset

Education

Juris Doctor (JD) required for candidates seeking a Senior Counsel designation

Skills

Exceptional communication and interpersonal abilities, especially in cross-functional environments

Ability to distill complex legal and regulatory content into actionable guidance

Leadership and team oversight capabilities in a professional services context

Deep understanding of financial regulatory frameworks and risk management

Job Location

Cleveland, OH

Company info

BCG Attorney Search
200 South Wacker Drive, 31st Floor
Chicago
Illinois
United States 60606
Phone : [phone]
Fax : [phone]