Chief Compliance Officer Or Senior Counsel

Chief Compliance Officer Or Senior CounselCompany nameBCG Attorney SearchExperience4-20 yrs requiredLocationCleveland, OH, United StatesPosted onMay 21, 2025ProfileJob TitleChief Compliance Officer Or Senior CounselJob OverviewA prominent law firm located in Cleveland, OH seeks a seasoned compliance leader or senior-level legal advisor to support its Investment Management division. This strategic position involves guiding sophisticated financial services clients-primarily registered investment advisers and broker-dealers-through the evolving landscape of regulatory compliance, governance, and risk management. The individual selected will work in close alignment with the head of the firm’s Investment Management group, delivering expert-level insight into regulatory frameworks while contributing to the ongoing enhancement of client oversight programs.DutiesLead and refine compliance infrastructures for clients within the financial services sectorDesign and implement regulatory control measures and internal audit processesMonitor and interpret updates to SEC and FINRA rules, translating them into practical applicationsCollaborate directly with client leadership to enhance governance and risk oversight protocolsSupport clients in regulatory examinations and responsesDraft, revise, and ensure implementation of compliance policies and operational proceduresEvaluate and oversee employee conduct, firm activities, and interdepartmental collaboration related to complianceDeliver strategic advice on client compliance programs, addressing both current requirements and anticipated regulatory developmentsSupervise compliance operations and advise on best practices aligned with industry evolutionRequirementsMinimum of 8 years of experience in compliance roles within the investment advisory and broker-dealer spaceExtensive knowledge of federal securities laws, including a strong command of SEC and FINRA regulatory frameworksProven track record of developing and managing enterprise-wide compliance strategiesPrior experience advising or working with registered investment advisers and broker-dealersStrong analytical skills with a strategic, forward-thinking mindsetEducationJuris Doctor (JD) required for candidates seeking a Senior Counsel designationSkillsExceptional communication and interpersonal abilities, especially in cross-functional environmentsAbility to distill complex legal and regulatory content into actionable guidanceLeadership and team oversight capabilities in a professional services contextDeep understanding of financial regulatory frameworks and risk managementJob LocationCleveland, OHCompany infoBCG Attorney Search200 South Wacker Drive, 31st FloorChicagoIllinoisUnited States 60606Phone : (312) 321-9411Fax : (213) 895-7306 #J-18808-Ljbffr

Created: 2025-10-06