Compliance Manager & Legal Counsel Duties: Ensure required systems, processes and policies are implemented, maintained, tested and updated to demonstrate compliance and ongoing involvement of the organization's activities and auditing practices. Assist in drafting, preparation, and maintenance of legal documents. Manage legal project workflows. Perform legal research. Support all work related to the legal and compliance department.. Occasionally lead compliance committee meetings, agenda curation, agenda item and project leading, as well as taking, finalizing meeting minutes. Review and revise all company related contracts and agreements. Assist with the firm's business acquisition efforts from a legal, compliance and risk mitigation perspective. Review, revise and finalize the firm's ADVs, Form CRS, 13F, 13H, U-4, and U-5 forms. Manage and continuously enhance all Code of Ethics related activities (e.g., personal securities monitoring and review, code of ethics management system operation, review of gifts & entertainment logs, review of requests for preapproval). Schedule and manage all compliance testing. Schedule and manage the risk assessment process and ensure all risk mitigation activities are completed accurately, timely and in excellence. Manage all legal and compliance aspects of growth projects the company pursues to ensure compliance and mitigation of risks. Management of the reviews of NorthRock emails, texts, and social media for compliance purposes and management of any exceptions. Manage the Schwab CT system. Assist with leading the annual and ongoing compliance training.. Management of the firm's policies and procedures and testing of these policies and procedures. Manage the process of working with broader NorthRock team to expand and enhance our policies and procedures. Perform and manage the Annual Review pursuant to Rule 206(4)-7. Management of the legal and compliance on-boarding of new employees. Manage the process of the completion of new employee compliance documentation to ensure all material is signed and received from employees. Manage the creation of the compliance program documentation. Be available for employees questions related to legal agreements and compliance matters and be able to create agreements needed to mitigate risks for the firm. Preparation and review of important documentation provided by the CLO & CCO. Monitor and manage the completion of all tasks on the compliance calendar and assist CCO with updates to program documents such as the Compliance Manual and Code of Ethics. Advertising, social media, and marketing material reviews and approvals. Manage the legal and compliance department's activities, books and records. Manage SEC examinations along with conducting branch office internal audits. Research and report to the CCO and Compliance Committee on current and new relevant securities laws, rules and regulations and reviewing company processes and policies and procedures to ensure alignment among all of these things and compliance.
Qualifications: Degrees and/or certifications from accredited Universities. Law degree is required. Compliance certifications are preferred (e.g., CSCP, IACCP). Minimum of 5-7 years experience managing a compliance program for an RIA and 5-7 years serving as a practicing lawyer focused on the needs of RIAs. Prior experience and substantial knowledge of the Advisers Act. Substantial previous experience managing both legal and compliance functions for SEC registered investment advisers. Strong knowledge of industry processes and regulations. Record of success in improving RIA's legal and compliance departments. Excellent project management skills and the ability to manage teams. Demonstrated ability to meet deadlines, handle and prioritize simultaneous requests, and manage lateral, downward, and upwards. Experience with a CRM database is appreciated (e.g., Salesforce). Familiarity with Schwab CT or other Code of Ethics management systems is a plus. Emotional maturity, professional mindset, and the utmost discretion. High-achiever with a reputation for being a Rockstar that gets things done. Strong communication skills, both written and verbal. Proficiency in all areas of Microsoft Office; MS Excel, and must be very tech comfortable. Excellent management, leadership and organizational skills.
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