Chief Compliance Officer Or Senior Counsel

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Job Title

Chief Compliance Officer Or Senior Counsel

Job Overview

A distinguished law firm located in Cincinnati, OH is seeking a seasoned professional to join its Investment Oversight team, either in a leadership compliance role or as a senior legal advisor. This individual will guide and shape compliance infrastructure and advisory operations for clients in the investment management space, particularly those operating as registered investment advisers and broker-dealers. The position involves strategic oversight of regulatory practices and continuous development of governance and risk protocols.

Duties

• Guide clients in structuring and implementing compliance frameworks aligned with federal regulatory requirements

• Design long-term strategic plans to strengthen compliance functions and reduce risk exposure for investment entities

• Maintain oversight of internal control systems, ensuring alignment with industry standards and evolving regulatory expectations

• Collaborate with leadership and department heads on policy enhancements and compliance initiatives

• Supervise conduct management and firm-wide adherence to ethical and operational standards

• Assess regulatory developments from the SEC and FINRA, and interpret their impact on client operations

• Lead policy updates, conduct procedural reviews, and recommend adjustments to reflect best practices

• Advise on risk mitigation, governance structuring, and enterprise-wide compliance integration

• Support regulatory audits and examinations by providing necessary documentation and guidance

Requirements

• Minimum of 8 years of experience in regulatory compliance, legal advisory, or related areas

• Prior background working with registered investment advisers and broker-dealers

• In-depth knowledge of federal regulatory regimes, particularly SEC and FINRA frameworks

• Strong strategic planning and risk management expertise

• Ability to synthesize complex regulatory updates into actionable guidance

• Proven experience in a leadership or senior advisory capacity within the financial services or legal sectors

Education

• Juris Doctor (JD) degree is required for candidates seeking to serve in the Senior Legal Advisor role

Skills

• Exceptional communication and leadership capabilities

• Strong analytical mindset with meticulous attention to regulatory detail

• Ability to translate technical rules into practical compliance strategies

• Skilled in managing multi-disciplinary teams and overseeing large-scale policy rollouts

• Adept at working in fast-paced, high-stakes environments with shifting regulatory landscapes

Job Location

• Cincinnati, 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