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Senior Counsel, Compliance
Refer job# BKLW159937
 
Senior Counsel, Compliance Duties: Advise on a range of corporate governance matters, such as regulatory compliance and public company readiness, corporate ethics program. Help identify and resolve day to day employment supervision and regulatory issues. Escalate as appropriate. Assist with deploying RHM Ethics compliance program, including, identifying and mitigating compliance risk; advise regarding compliance processes; collaborate with process owners and stakeholders to effectively develop alignment. Collaborate cross-functionally with Broker Dealer heads and other key compliance stakeholders, HR, focusing on enterprise policies and procedures designed to mitigate firm risk. Advise stakeholders regarding relevant international, federal, and state regulatory laws and applicable rules. Lead RHM policy portal and policy management process development for Code of Conduct and RHM policies. Partner with the employment legal team to develop helpline reporting and case management process framework, including privileged investigation procedures. Assist with privileged internal investigations as needed. Serve as the key point of contact for annual /updates to Code of Conduct and Enterprise policies at RHM, investigations, and program evaluation and improvement. Serve as subject matter expert to support enterprise level and Broker Dealer risk assessments including validating, prioritizing risks, and deploying legal and compliance risk-based solutions. Serve as counsel available to conduct privileged internal investigations for ethics related to the helpline, conflicts of interest, and employee inquiries. Support Internal Audit investigations and evaluations regarding allegations of noncompliance. Advise internal leadership onCode of Conduct and related policies at RHM, as well as relevant Broker Dealer laws, regulations, and industry best practices.

Qualifications: JD degree (or foreign equivalent) and membership in at least 1 U.S. state bar. 5+ years of legal practice experience, with 3+ years specializing in compliance. Experience supporting enterprise level and Broker Dealer risk assessments including validating, prioritizing risks, and deploying legal and compliance risk-based solutions. Bonus points:. In-house legal experience. Experience with financial services and/or financial technology companies. Experience in payments industry, banking or financial services sector, with experience with the emerging and mobile payment technology landscape a plus. Ability to provide practical, strategic and business-oriented legal advice. Ability to effectively represent the Company before a variety of governmental bodies at state and federal levels. Ability to build strong working relationships with internal clients at all levels of management and work within cross-functional teams to develop solutions to complex legal/business issues. Ability to effectively manage multiple time sensitive tasks.
 
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