Compliance Officer and Counsel
Is this job for you?
Build my CV Build your CV and see how well you match this role — and every other one.
The role
Provide strategic legal counsel and compliance leadership across investment management operations.
Develop, implement, and maintain policies, procedures, and internal controls to ensure SEC, FINRA, and securities-law compliance.
Oversee annual reviews (e.g., 206(4)-7), monitoring, risk assessments, and adherence to the Code of Ethics.
Draft, review, and negotiate vendor, client, and corporate agreements; review marketing materials and research publications.
Advise on legal and regulatory matters under the Investment Advisers Act and related securities laws; support regulatory filings, examinations, and audits.
Collaborate with Human Resources on employment matters and foster a culture of integrity, collaboration, and accountability.
Develop, implement, and maintain policies, procedures, and internal controls to ensure SEC, FINRA, and securities-law compliance.
Oversee annual reviews (e.g., 206(4)-7), monitoring, risk assessments, and adherence to the Code of Ethics.
Draft, review, and negotiate vendor, client, and corporate agreements; review marketing materials and research publications.
Advise on legal and regulatory matters under the Investment Advisers Act and related securities laws; support regulatory filings, examinations, and audits.
Collaborate with Human Resources on employment matters and foster a culture of integrity, collaboration, and accountability.
See the full job post
Responsibilities, requirements, skills and benefits — create your free account.
or
Already have an account?
Log inSimilar openings
Other roles that could suit you.