Chief Compliance Officer Or Senior Counsel
Company name
BCG Attorney Search
Experience
4-20 yrs required
Location
Cleveland, OH, United States
Posted on
May 21, 2025
Profile
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 :
Fax :