Chief Compliance Officer Or Senior Counsel

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

Job summary

An established industry player is seeking a Chief Compliance Officer or Senior Counsel to lead compliance efforts for investment advisers and broker-dealer clients. This pivotal role involves developing regulatory compliance programs, guiding clients through internal frameworks, and advising on securities law compliance. The ideal candidate will have extensive experience in legal and compliance roles, particularly with SEC and FINRA regulations. Join a forward-thinking firm that values strategic leadership and offers a collaborative environment where your expertise will significantly impact compliance and governance practices.

Qualifications

• 8+ years in legal/compliance roles focused on investment advisers.
• Deep understanding of SEC and FINRA regulations.
• Experience with C-level stakeholders and external regulators.

Responsibilities

• Develop and lead compliance programs for investment clients.
• Conduct audits to evaluate compliance controls' effectiveness.
• Serve as the point of contact for regulatory bodies like SEC.

Skills

Strategic thinking

Leadership in regulatory environments

Securities laws compliance

Verbal and written communication

Drafting policies and procedures

Interpersonal skills

Risk assessment tools

Education

Juris Doctor (JD)

Job description

Chief Compliance Officer Or Senior Counsel

Company name
BCG Attorney Search

Experience
4-20 yrs required

Location
Columbus, 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 distinguished law firm based in Columbus, OH is seeking an accomplished compliance and legal professional with deep experience in investment regulation to serve in a senior leadership capacity. This position will play a key role in supporting investment advisers and broker-dealer clients by shaping and directing the overall compliance framework and risk oversight structure. The successful candidate will contribute to building out long-term strategies, manage regulatory interfaces, and advise on the evolving landscape of securities law compliance.

Duties:

1. Develop and lead regulatory compliance programs for investment-focused clients
2. Guide clients through structuring and maintaining internal compliance frameworks
3. Monitor ongoing legal developments and translate them into actionable internal policies
4. Conduct periodic audits and reviews to evaluate the effectiveness of compliance controls
5. Collaborate with client leadership to implement risk mitigation measures
6. Oversee training initiatives and employee conduct reviews related to compliance matters
7. Lead the creation and refinement of corporate governance documentation and internal controls
8. Manage cross-functional compliance reviews based on industry developments and regulator expectations
9. Serve as the principal point of contact for regulatory bodies including the SEC and FINRA
10. Provide strategic advice on best practices in securities compliance and governance

Requirements:

• Minimum of 8 years of experience in legal or compliance roles focused on investment advisers and broker-dealers
• Deep understanding of regulatory frameworks and industry requirements related to SEC and FINRA
• Demonstrated ability to build, evaluate, and enhance compliance programs
• Experience interacting with C-level stakeholders and external regulators
• Strong analytical and advisory skills with a solutions-oriented mindset

Education:

Juris Doctor (JD) required for candidates applying under the Senior Legal Advisor track

Skills:

• Strategic thinking and leadership in regulatory environments
• Advanced understanding of securities laws and financial services compliance
• Excellent verbal and written communication abilities
• Proficient in drafting and interpreting policies, procedures, and governance documents
• Strong interpersonal skills to lead, collaborate, and influence across teams
• Familiarity with risk assessment tools and audit techniques

Job Location:

Columbus, OH

Company info

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