Regulatory and Compliance Attorney

Salary Range: 130000 to 225000 (Currency: USD) (Pay period: per-year-salary)

Job responsibilities will include, but are not limited to:

• Stay up-to-date with 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 all areas of the firm. Ensure that policies and procedures are designed to mitigate risk, prevent non-compliance, and promote a culture of ethics and integrity throughout the organization.
• Oversee the preparation of internal and external compliance reports to regulators, senior management, and stakeholders. Provide timely and accurate updates on compliance issues, emerging risks, and industry trends to the CCO.
• Develop and deliver ongoing training programs to employees across all levels to enhance their 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 noncompliance situations.
• Ensure adherence to investment processes and compliance manuals.
• Provide legal review and advice to the firm on a variety of topics related to investment consulting business, including investment advisory agreements.
• Review and assist with the negotiation of fund and other product documentation, including LPAs, PPMs, investment management agreements, and third-party service provider agreements.
• Provide legal advice in connection with marketing materials, RFPs and all other marketing efforts of the business.

Competencies for Success/Qualifications:

• Bachelor’s Degree and a Juris Doctoral degree from an accredited school of law.
• 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 and organizational skills.
• Exceptional written and verbal communication skills that enable messages and decisions to be articulated confidently, effectively, and diplomatically.
• Proficient in Microsoft Office Suite and strong Excel and AI skills.