Attorney in Washington, DC

In-House

Washington, DC

Attorney in Washington, DC

Non-practicing Attorney

Min 7 yrs required

No

Job Title: US Investments Commercial Compliance Leader

Job Responsibilities:
- Design, execute, document, and report on a comprehensive commercial compliance program to address and mitigate legal and regulatory risks in commercial activities.
- Collaborate with business colleagues to assess and mitigate the company's risk profile.
- Maintain relationships with regulators and manage relevant examinations.
- Expertise in SEC, FINRA, NFA, ERISA, and other US sales and marketing rules, including private fund marketing.
- Assess and recommend enhancements to processes and controls to mitigate risks and support future business objectives.
- Provide advice, challenge, and thought partnership on marketing and sales process enhancements to meet business needs and growth.
- Establish and oversee a framework of controls and processes.
- Own and manage compliance sales and marketing oversight, testing/monitoring, and governance processes.
- Monitor regulatory developments and provide guidance to stakeholders on changes that may impact business activities.
- Collaborate with Global Investments Legal and Compliance teams and global commercial leaders.

Education and Experience Information:
- A Bachelor’s Degree from a four-year college or university is required; a JD is preferred.
- A minimum of 7 years of experience, preferably in the financial services industry, with experience managing SEC and FINRA marketing compliance processes and/or managing a broker-dealer compliance program.
- Independent strategic thinker with experience balancing commercial objectives against risk mitigation goals.
- Ability to establish and maintain professional relationships with key stakeholders and service providers.
- Proactive, capable of multi-tasking, and able to organize and prioritize deliverables to meet deadlines.
- Ability to work independently, own risk, exhibit solid judgment, and execute effectively.
- Strong written and oral communication skills, with the ability to communicate succinctly.

What Makes You Stand Out:
- FINRA S7, S24, or FINRA S14 licenses.
- Experience at an SEC registered investment adviser working within a compliance department, managing broker-dealer compliance and marketing and sales compliance programs.
- Experience implementing workflows and frameworks to generate efficiency while mitigating risk.
- Knowledge of the Investment Company Act of 1940, ERISA regulations, and NFA Rules.

Salary Information:
- The applicable base salary range for this role is $144,300 to $288,400.
- The base pay offered will be determined by factors such as experience, skills, training, location, certifications, education, and any applicable minimum wage requirements.
- This position may be eligible for performance-based incentives.
- A competitive total rewards package is offered, including health and welfare benefits, tuition assistance, 401K savings, retirement programs, and employee assistance programs.

Company and Culture:
- The company is a global leader in risk, strategy, and people, advising clients in 130 countries across four businesses.
- Committed to a diverse, inclusive, and flexible work environment.
- Hybrid work model with the flexibility of working remotely and collaboration benefits of working in the office.
- All colleagues are expected to be in the local office or onsite with clients at least three days per week.