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Marquette Associates · 1 month ago

Regulatory & Compliance Attorney

Chicago

Full-time

Hybrid

Senior Level

$150K/yr - $225K/yr

7+ years exp

Marquette Associates is an investment consulting firm dedicated to providing high-quality service to its clients. The Regulatory & Compliance Attorney will oversee the compliance function, ensuring adherence to regulatory requirements and fostering a culture of compliance throughout the organization.

Financial Services

Responsibilities

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

Qualification

Regulatory compliance expertiseSecurities laws knowledgeLegal review skillsInvestment consulting experienceCommunication skillsMicrosoft Office proficiencyExcel skillsAI skillsProblem-solving skillsOrganizational skills