Chief Compliance Officer Or Senior Counsel

Chief Compliance Officer Or Senior CounselCompany nameBCG Attorney SearchExperience4-20 yrs requiredLocationColumbus, OH, United StatesPosted onJul 07, 2025ProfileJob Title:Chief Compliance Officer Or Senior CounselJob 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:Develop and lead regulatory compliance programs for investment-focused clientsGuide clients through structuring and maintaining internal compliance frameworksMonitor ongoing legal developments and translate them into actionable internal policiesConduct periodic audits and reviews to evaluate the effectiveness of compliance controlsCollaborate with client leadership to implement risk mitigation measuresOversee training initiatives and employee conduct reviews related to compliance mattersLead the creation and refinement of corporate governance documentation and internal controlsManage cross-functional compliance reviews based on industry developments and regulator expectationsServe as the principal point of contact for regulatory bodies including the SEC and FINRAProvide strategic advice on best practices in securities compliance and governanceRequirements:Minimum of 8 years of experience in legal or compliance roles focused on investment advisers and broker-dealersDeep understanding of regulatory frameworks and industry requirements related to SEC and FINRADemonstrated ability to build, evaluate, and enhance compliance programsExperience interacting with C-level stakeholders and external regulatorsStrong analytical and advisory skills with a solutions-oriented mindsetEducation:Juris Doctor (JD) required for candidates applying under the Senior Legal Advisor trackSkills:Strategic thinking and leadership in regulatory environmentsAdvanced understanding of securities laws and financial services complianceExcellent verbal and written communication abilitiesProficient in drafting and interpreting policies, procedures, and governance documentsStrong interpersonal skills to lead, collaborate, and influence across teamsFamiliarity with risk assessment tools and audit techniquesJob Location:Columbus, OHCompany infoBCG Attorney Search200 South Wacker Drive, 31st FloorChicagoIllinoisUnited States 60606Phone : (312) 321-9411Fax : (213) 895-7306DescriptionLocation:This position is located at our Dublin, OH campus with hybrid flexibility.We’re on a mission to make healthcare simpler and more effective. We fight to ensure our members get the care they need, when they ne...DescriptionHumana is a $90 billion (Fortune 40) market leader in integrated healthcare with a clearly defined purpose to help people achieve lifelong well-being. As a company focused on the health and well-being of the people we...DescriptionHumana is a $90 billion (Fortune 40) market leader in integrated healthcare with a clearly defined purpose to help people achieve lifelong well-being. As a company focused on the health and well-being of the people we... #J-18808-Ljbffr

Created: 2025-10-06