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Channel Dynamics · 1 month ago

Senior Compliance Associate

Denver, CO

Full-time

Onsite

Mid, Senior Level

$100K/yr - $150K/yr

5+ years exp

Channel Dynamics is a fast-growing primary research firm that focuses on delivering compliant insights to institutional investors. The Senior Compliance Associate will play a critical role in safeguarding research integrity and regulatory excellence while building and mentoring a compliance team. This position involves leading compliance processes, developing scalable infrastructure, and driving the firm's legal strategy.

ConsultingInformation TechnologyMarket Research

Responsibilities

Build systems, training, and tools that enable analysts to produce high-quality research while protecting the firm

Own the MNPI review and escalation process as the firm’s primary defense against improper information flow

Review and approve all research before distribution, with a focus on MNPI assessment, research independence, and regulatory alignment

Chaperone expert calls and client consultations, and manage real-time compliance risk

Identify, assess, and resolve MNPI issues throughout the research pipeline

Maintain deep expertise in insider trading laws, FINRA and SEC regulations, and research independence standards

Manage and mentor compliance associates and support their professional development

Establish clear workflows, expectations, and accountability standards

Set the cultural tone for integrity, rigor, and ownership across the compliance function

Play a central role in scaling the compliance department into a structured and well-resourced team

Maintain and improve the firm’s Policy and Procedure Manual

Oversee the Code of Ethics, supervision policies, privacy protocols, and data governance

Lead development of the firm’s AI and data usage policies

Conduct risk assessments for new products, initiatives, or sector expansions

Serve as the primary point of contact for compliance questions, due diligence requests, and client inquiries

Draft, negotiate, and manage MSAs, Data Agreements, NDAs, and vendor contracts

Build and oversee a comprehensive Contract Lifecycle Management framework

Lead vendor risk management, including diligence, scoring, and renewals

Manage relationships with outside counsel on specialized legal topics

Qualification

Juris DoctorMNPI frameworksInsider trading lawsSECFINRA regulationsContract negotiationCompliance team managementAI governanceExceptional communicationAttention to detail

Required

Juris Doctor and active membership in good standing with a State Bar

Greater than 5 years of experience in legal or compliance roles supporting securities, research, hedge funds, alternative asset managers, or regulators

Deep expertise in MNPI frameworks, insider trading laws, and SEC and FINRA regulations

Demonstrated ability to manage or mentor junior team members

Exceptional communication skills and attention to detail