Chief Compliance Officer or Senior Counsel - Investment Management - Cleveland, Columbus, or Ci[...]

Calfee, Halter & Griswold LLP; Columbus (OH); On-site; USD 100,000 - 125,000; Full time

Job summary

An established industry player is seeking a Chief Compliance Officer or Senior Counsel to lead compliance efforts in the Investment Management group. This pivotal role involves developing and overseeing compliance standards for investment advisers and broker-dealer clients, ensuring adherence to SEC and FINRA regulations. The ideal candidate will possess extensive compliance experience and a strategic vision to enhance governance and risk management practices. Join a dynamic team where your expertise will shape the compliance landscape and drive organizational success. This is an exciting opportunity to make a significant impact in a thriving legal environment.

Qualifications

• 8+ years of compliance experience with a focus on SEC and FINRA regulations.
• Strong knowledge of compliance programs for investment advisors and broker-dealers.

Responsibilities

• Develop and monitor compliance standards for investment management clients.
• Supervise employee conduct and ensure adherence to regulatory guidelines.

Skills

Regulatory Compliance

Risk Management

Communication Skills

Leadership

Education

Juris Doctor (JD)

Job description

Opportunity for a Chief Compliance Officer or Senior Counsel in the Investment Management group. The preference is to find someone for our Cleveland, Columbus, or Cincinnati office. This role will report to the Chair of our Investment Management practice group.

The Chief Compliance Officer is responsible for developing, maintaining, and monitoring regulatory compliance standards for the registered investment adviser and broker-dealer clients of Calfee in the overall management of the client’s compliance program, the application of compliance policies and procedures, and the development of the firm’s governance and risk management practices. This includes developing an overall strategic vision for the compliance functional areas of Calfee broker-dealer and adviser clients, maintaining regulatory risk and governance oversight by analyzing and establishing internal controls for the client’s primary lines of business, communicating with senior management and departmental management, supervising employee conduct and firm operations, and coordinating the review of relevant policies and procedures of the client based on new regulatory guidance and industry best practices.

Minimum Qualifications:

1. The candidate should have 8+ years of relevant compliance related experience.
2. Extensive knowledge of SEC and FINRA regulations.
3. For Senior Counsel candidates, a JD will be required.
4. Prior compliance experience with registered investment advisors and broker-dealer clients is also required.

Interested candidates should submit a cover letter, resume and transcripts to Catherine Davis, Legal Recruiting and Professional Development Director, at [e-mail].