Chief Compliance Officer Or Senior Counsel

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Job Title

Chief Compliance Officer Or Senior Counsel

Job Overview

A 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.

Duties

• Lead and refine compliance infrastructures for clients within the financial services sector

• Design and implement regulatory control measures and internal audit processes

• Monitor and interpret updates to SEC and FINRA rules, translating them into practical applications

• Collaborate directly with client leadership to enhance governance and risk oversight protocols

• Support clients in regulatory examinations and responses

• Draft, revise, and ensure implementation of compliance policies and operational procedures

• Evaluate and oversee employee conduct, firm activities, and interdepartmental collaboration related to compliance

• Deliver strategic advice on client compliance programs, addressing both current requirements and anticipated regulatory developments

• Supervise compliance operations and advise on best practices aligned with industry evolution

Requirements

• Minimum of 8 years of experience in compliance roles within the investment advisory and broker-dealer space

• Extensive knowledge of federal securities laws, including a strong command of SEC and FINRA regulatory frameworks

• Proven track record of developing and managing enterprise-wide compliance strategies

• Prior experience advising or working with registered investment advisers and broker-dealers

• Strong analytical skills with a strategic, forward-thinking mindset

Education

• Juris Doctor (JD) required for candidates seeking a Senior Counsel designation

Skills

• Exceptional communication and interpersonal abilities, especially in cross-functional environments

• Ability to distill complex legal and regulatory content into actionable guidance

• Leadership and team oversight capabilities in a professional services context

• Deep understanding of financial regulatory frameworks and risk management

Job Location

• Cleveland, OH

Company info

BCG Attorney Search
200 South Wacker Drive, 31st Floor
Chicago
Illinois
United States 60606
Phone : (312) 321-9411
Fax : (213) 895-7306