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Melinda Burrows
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In House Legal Job Listings

YOUR WINDOW TO A WORLD OF OPPORTUNITIES
 
Compliance Attorney
Refer job# KFJH138433
 
Compliance Attorney The candidate will be developing, testing and maintaining policies and procedures for applicable regulatory and compliance requirements. Will be working with the Chief Compliance Officer to develop and maintain controls to monitor effectiveness of compliance program and promptly address any noncompliance with laws, requirements, policies or procedures. Ensuring adequate disclosures for Form ADV and compliance with delivery requirements. Evaluating new or enhanced services, processes and initiatives for compliance issues. Preparing and reviewing training materials and provide compliance training to new hires and continuing education for existing employees to keep current on the changing regulatory environment. Preparing for and assisting with examinations or investigations conducted by SEC or other external parties. Conducting ingbranch compliance reviews and new and current employee training. Handling corporate governance matters. Divorce Decree and QDRO Review. Providing guidance on all issues related to SEC and FINRA rules and regulations including the Investment Advisors Act of 1940 as well as other regulations and securities laws. Performing other duties as assigned. Must have a Juris Doctor J.D. degree. Should be licensed to practice law in at least one state (Colorado preferred). Must have 0 - 3 years of practice with a law firm, regulator or in-house legal department (preferably in financial services, investments and/or securities). Knowledge and experience of SEC laws, industry practice, policies and other regulatory requirements relating to investment advisors, including the Investment Advisor Act of 1940 is required. Financial services experience is preferred. Excellent communication, analytical and organizational skills are required.
 
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