Corporate - Compliance Attorney in Columbus, OH

Law Firm

Columbus, OH

Corporate - Compliance Attorney in Columbus, OH

Attorney

Min 8 yrs required

No

RESPONSIBILITIES:
• Develop and maintain regulatory compliance standards for registered investment
adviser and broker-dealer clients
• Implement and monitor compliance policies and procedures
• Develop strategic vision for compliance functional areas
• Maintain regulatory risk and governance oversight
• Analyze and establish internal controls for primary lines of business
• Communicate with senior management and departmental management
• Supervise employee conduct and firm operations
• Coordinate review of policies and procedures based on new regulatory guidance and
industry best practices
REQUIREMENTS:
• 8+ years of relevant compliance related experience
• Extensive knowledge of SEC and FINRA regulations
• JD required for Senior Counsel candidates
• Prior compliance experience with registered investment advisors and broker-dealer
clients

Calfee is a full-service law firm with over 160 attorneys located in Cleveland, Columbus, and
Cincinnati, Ohio. We are committed to providing high-quality legal services to our clients
while maintaining a collegial and supportive work environment for our employees. We offer
competitive salaries and benefits, including medical, dental, 401(k), and paid time off. Calfee
is an equal opportunity employer.
**MEMBERS ONLY**SIGN UP NOW***.
1400 MCDONALD INVESTMENT CENTER
800 SUPERIOR AVENUE
CLEVELAND, OHIO 44114-2688




H1: Chief Compliance Officer or Senior Counsel Opening in Calfee's Cleveland, Columbus, or Cincinnati Office
H2: Opportunity for Experienced Compliance Professional in Investment Management Group

Law Firm Seeking Chief Compliance Officer or Senior Counsel in Cleveland, Columbus, or Cincinnati Office

**MEMBERS ONLY**SIGN UP NOW***., a full-service law firm with over 160 attorneys, is currently seeking a Chief Compliance Officer or Senior Counsel for their Investment Management group. This role will report to the Chair of the practice group and will be responsible for developing, maintaining, and monitoring regulatory compliance standards for registered investment adviser and broker-dealer clients.

Responsibilities:
- Develop and maintain compliance standards for clients
- Implement and monitor compliance policies and procedures
- Develop strategic vision for compliance areas
- Maintain regulatory risk and governance oversight
- Analyze and establish internal controls for primary business lines
- Communicate with senior and departmental management
- Supervise employee conduct and firm operations
- Coordinate review of policies and procedures based on new regulatory guidance and industry best practices

Requirements:
- 8+ years of relevant compliance experience
- Extensive knowledge of SEC and FINRA regulations
- JD required for Senior Counsel candidates
- Prior experience with registered investment advisors and broker-dealer clients

The ideal candidate will have a strong understanding of compliance regulations and industry best practices, as well as excellent communication and leadership skills. Interested candidates should submit a cover letter, resume, and transcripts to Catherine Davis, Legal Recruiting and Professional Development Director at ****.

Calfee offers a competitive salary and benefits package, including medical, dental, 401(k), and paid time off. The firm is committed to creating a supportive and collaborative work environment for its employees. Calfee is an equal opportunity employer.

Join the team at Calfee and make a difference in the investment management industry as a Chief Compliance Officer or Senior Counsel. Apply today!