Chief Compliance Officer Or Senior Counsel

Profile

Job Title: Chief Compliance Officer Or Senior Counsel

Job 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 clients

• Guide clients through structuring and maintaining internal compliance frameworks

• Monitor ongoing legal developments and translate them into actionable internal policies

• Conduct periodic audits and reviews to evaluate the effectiveness of compliance controls

• Collaborate with client leadership to implement risk mitigation measures

• Oversee training initiatives and employee conduct reviews related to compliance matters

• Lead the creation and refinement of corporate governance documentation and internal controls

• Manage cross-functional compliance reviews based on industry developments and regulator expectations

• Serve as the principal point of contact for regulatory bodies including the SEC and FINRA

• Provide strategic advice on best practices in securities compliance and governance

Requirements:

• Minimum of 8 years of experience in legal or compliance roles focused on investment advisers and broker-dealers

• Deep understanding of regulatory frameworks and industry requirements related to SEC and FINRA

• Demonstrated ability to build, evaluate, and enhance compliance programs

• Experience interacting with C-level stakeholders and external regulators

• Strong analytical and advisory skills with a solutions-oriented mindset

Education:

• Juris Doctor (JD) required for candidates applying under the Senior Legal Advisor track

Skills:

• Strategic thinking and leadership in regulatory environments

• Advanced understanding of securities laws and financial services compliance

• Excellent verbal and written communication abilities

• Proficient in drafting and interpreting policies, procedures, and governance documents

• Strong interpersonal skills to lead, collaborate, and influence across teams

• Familiarity with risk assessment tools and audit techniques

Job Location:

• Columbus, 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