Marquette Associates
Regulatory & Compliance Attorney
Marquette Associates, Chicago, Illinois, United States, 60290
Regulatory & Compliance Attorney – Marquette Associates
Marquette Associates, founded in 1986, is looking for a Regulatory & Compliance Attorney to oversee the firm’s compliance function and support its investment consulting services.
Base Pay Range $150,000.00/yr – $225,000.00/yr
Key Responsibilities
Stay abreast of regulatory changes and industry developments to guide the organization through evolving legal landscapes.
Partner with Marquette’s third‑party compliance firm to develop, implement, and maintain comprehensive compliance programs across the firm.
Oversee the preparation of internal and external compliance reports for regulators, senior management, and stakeholders.
Develop and deliver ongoing training programs to employees at all levels to enhance understanding of compliance obligations, ethical behavior, and regulatory requirements.
Foster a culture of compliance through proactive education and communication.
Conduct regular audits to identify potential weaknesses and non‑compliance situations.
Ensure adherence to investment processes and compliance manuals.
Provide legal review and advice on investment consulting matters, including investment advisory agreements.
Review and assist with negotiation of fund and other product documentation such as LPAs, PPMs, investment management agreements, and third‑party service provider agreements.
Provide legal advice related to marketing materials, RFPs, and all other marketing efforts of the business.
Competencies & Qualifications
Bachelor’s Degree and a Juris Doctor from an accredited law school.
5+ years of legal or compliance experience in the investment or financial services industry.
Broad knowledge of securities laws, including the Investment Advisers Act of 1940 and the Employee Retirement Income Security Act of 1974 (ERISA).
Excellent problem‑solving, organizational, written, and verbal communication skills.
Strong Microsoft Office, Excel, and AI skills.
Benefits We Offer
Top‑tier healthcare coverage.
100% paid premium for disability and employee life insurance coverage.
Health and Dependent Care FSA and HSA options.
Company 401(k) contribution.
Hybrid work policy.
Paid time off & 15+ holidays.
Summer hours.
Enhanced employee assistance program.
Volunteer opportunities.
Tuition and education reimbursement.
Company‑wide events.
Marquette Associates is proud to be an Equal Opportunity Employer.
We may use artificial intelligence (AI) tools to support parts of the hiring process, such as reviewing applications, analyzing resumes, or assessing responses. These tools assist our recruitment team but do not replace human judgment. Final hiring decisions are made by humans. If you would like more information about how your data is processed, please contact us.
The starting salary offer will vary based on the applicant’s education, experience, skills, abilities, geographic location, internal equity, and alignment with market data. This position is also eligible to participate in the annual incentive plan, which includes a target bonus of 20% of base salary.
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Base Pay Range $150,000.00/yr – $225,000.00/yr
Key Responsibilities
Stay abreast of regulatory changes and industry developments to guide the organization through evolving legal landscapes.
Partner with Marquette’s third‑party compliance firm to develop, implement, and maintain comprehensive compliance programs across the firm.
Oversee the preparation of internal and external compliance reports for regulators, senior management, and stakeholders.
Develop and deliver ongoing training programs to employees at all levels to enhance understanding of compliance obligations, ethical behavior, and regulatory requirements.
Foster a culture of compliance through proactive education and communication.
Conduct regular audits to identify potential weaknesses and non‑compliance situations.
Ensure adherence to investment processes and compliance manuals.
Provide legal review and advice on investment consulting matters, including investment advisory agreements.
Review and assist with negotiation of fund and other product documentation such as LPAs, PPMs, investment management agreements, and third‑party service provider agreements.
Provide legal advice related to marketing materials, RFPs, and all other marketing efforts of the business.
Competencies & Qualifications
Bachelor’s Degree and a Juris Doctor from an accredited law school.
5+ years of legal or compliance experience in the investment or financial services industry.
Broad knowledge of securities laws, including the Investment Advisers Act of 1940 and the Employee Retirement Income Security Act of 1974 (ERISA).
Excellent problem‑solving, organizational, written, and verbal communication skills.
Strong Microsoft Office, Excel, and AI skills.
Benefits We Offer
Top‑tier healthcare coverage.
100% paid premium for disability and employee life insurance coverage.
Health and Dependent Care FSA and HSA options.
Company 401(k) contribution.
Hybrid work policy.
Paid time off & 15+ holidays.
Summer hours.
Enhanced employee assistance program.
Volunteer opportunities.
Tuition and education reimbursement.
Company‑wide events.
Marquette Associates is proud to be an Equal Opportunity Employer.
We may use artificial intelligence (AI) tools to support parts of the hiring process, such as reviewing applications, analyzing resumes, or assessing responses. These tools assist our recruitment team but do not replace human judgment. Final hiring decisions are made by humans. If you would like more information about how your data is processed, please contact us.
The starting salary offer will vary based on the applicant’s education, experience, skills, abilities, geographic location, internal equity, and alignment with market data. This position is also eligible to participate in the annual incentive plan, which includes a target bonus of 20% of base salary.
#J-18808-Ljbffr