Corporate Counsel – Compliance and Litigation

Job Description:

• Collaborate with Senior Corporate Counsel in conducting legally privileged investigations into allegations of misconduct or other compliance-related issues.
• Collect and analyze evidence from various sources including internal records, communications, and systems, including but not limited to Salesforce, Box, and ThetaLake.
• Collaborate with legal, compliance, IT, and other departments to ensure investigations are comprehensive and aligned with internal protocols.
• Assist in pre-litigation and litigation efforts including evidence-gathering, document collection, and managing outside counsel.
• Assist in responding to subpoenas, regulatory inquiries, and audit requests, including gathering relevant documents and information, reviewing and redacting privileged or confidential information, compiling responses in a timely fashion.
• Monitor and track investigation outcomes and trends to identify potential areas of risk.
• Support the development and enhancement of investigation procedures and compliance programs.
• Field and respond to advisor questions related to compliance issues, (e.g. client disputes and/or complaints, privacy concerns, senior and vulnerable clients, divorcing clients, power of attorney, and trust related issues) and provide clear guidance and alignment with regulatory and internal policy requirements.
• Research and advise on contractual, business law, corporate governance, SEC-compliance, employment, and estate law matters.
• Maintain a current working knowledge of new laws and regulatory developments including legal developments affecting investigations, cybersecurity and privacy, rights of reporting individuals, and compliance-related standards.
• Perform other duties as assigned

Requirements:

• Juris Doctorate
• License to practice law in at least one state (CO preferred).
• 3+ years experience in-house, business litigation, securities, or a related financial field.
• Knowledge of and experience within financial industry and with federal securities law including the Investment Advisor Act of 1940 and financial regulators including the SEC.
• Knowledge of and experience analyzing estate planning issue and documents preferred.
• Ability to work effectively with teams and independently as well as manage and prioritize multiple projects.
• Excellent analytical, writing, and communication skills.
• High ethical standards and sound judgment.
• Remote Based - Denver Preferred

Benefits:

• Company Paid Basic Life & AD&D Insurance
• Company Paid Short-Term and Long-Term Disability Insurance
• Supplemental Life & AD&D; Short-Term Disability; Accident; Critical Illness; and Hospital Indemnity Insurance
• Three medical plans offerings including two High Deductible Health Plans and a Traditional Co-Pay medical plan.
• Health Savings Account (HSA) with company contributions on a per pay period basis if enrolled in either HDHP medical plan.
• Two comprehensive Dental Plans
• Vision Insurance Plan
• Dependent Care Savings Account for child and dependent care.
• 14 Company Paid Holidays with a full week off at Thanksgiving.
• Generous paid time off program for vacation and sick days
• Employee Assistance Plan
• Family Medical Leave
• Paid Parental Leave (6 weeks)
• Maternity benefits utilizing company paid STD, any supplemental STD, plus Parental Leave (6 weeks) to provide time for recovery, baby bonding, and enjoying your family time.
• Adoption Assistance Reimbursement Program
• Company Paid Concierge Services for you and your loved ones for the spectrum of caring needs for your aging parents, young children, life’s challenges and more.
• 401(k) Retirement Plan with both Traditional and Roth plans with per pay period match
• Pet Insurance

Apply tot his job Apply To this Job