Attorney in Philadelphia, PA

In-House

Philadelphia, PA

Attorney in Philadelphia, PA

Non-practicing Attorney

Min 7 yrs required

No

Job Title: US Investments Commercial Compliance Leader

Job Responsibilities:
- Design, execute, document, and report on a robust commercial compliance program focused on addressing and mitigating legal and regulatory risk in commercial activities.
- Collaborate with business colleagues to assess and mitigate the company's risk profile.
- Maintain relationships with regulators and manage relevant exams.
- Be an expert in SEC, FINRA, NFA, ERISA, and other US sales and marketing rules, including private fund marketing.
- Assess and recommend process and control enhancements to further mitigate risks and support future business objectives.
- Provide best-in-class advice, appropriate second line challenge, and thought partnership on marketing and sales process and control enhancements.
- Establish and oversee a framework of controls and processes.
- Own and manage the Compliance sales and marketing oversight, testing/monitoring, and governance processes.
- Monitor and understand regulatory developments for modifications needed to Compliance programs.
- Provide guidance to relevant stakeholders, leaders, and governance committee on regulatory changes that may impact business activities, operations, or objectives.
- Collaborate across the Global Investments Legal and Compliance teams, and with global commercial leaders.

Education and Experience Information:
- A Bachelor’s Degree from a four-year college or university is required (JD 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 ability to organize and prioritize deliverables to meet deadlines within a growing business environment.
- Ability to work independently and own risk, exhibit solid judgment, and execute effectively.
- Positive, can-do attitude and creative problem-solving skills.
- Strong written and oral communication skills. 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 of advisers and funds.
- Experience implementing workflows and frameworks to generate efficiency while mitigating risk (., Seismic, Red Oak, Saifr, etc.).
- Knowledge of Investment Company Act of 1940; Knowledge of ERISA regulations; Knowledge of 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 on factors such as experience, skills, training, location, certifications, education, and any applicable minimum wage requirements. Decisions will be determined on a case-by-case basis.
- In addition to the base salary, this position may be eligible for performance-based incentives.
- A competitive total rewards package is offered, which includes health and welfare benefits, tuition assistance, 401K savings, and other retirement programs as well as employee assistance programs.

Company Information:
- Company is committed to embracing a diverse, inclusive, and flexible work environment.
- The hybrid work model includes the flexibility of working remotely and the collaboration, connections, and professional development benefits of working together in the office.
- Colleagues are expected to be in their local office or working onsite with clients at least three days per week.
- The company aims to attract and retain the best people and embrace diversity of age, background, disability, ethnic origin, family duties, gender orientation or expression, marital status, nationality, parental status, personal or social status, political affiliation, race, religion and beliefs, sex/gender, sexual orientation or expression, skin color, veteran status (including protected veterans), or any other characteristic protected by applicable law.