Senior Compliance Attorney (Investment Management Experience) jobs in United States
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Paragon Legal ยท 10 hours ago

Senior Compliance Attorney (Investment Management Experience)

positionUnited States
timeContract
remoteRemote
senioritySenior Level
money$115/hr - $125/hr
date5+ years exp

Paragon Legal is a well-known financial services and investing company seeking a Senior Compliance Officer to step into an interim leadership role during a period of business transition. This role involves overseeing junior attorneys, providing compliance guidance, and serving as a key contact with regulators while reviewing and enhancing the compliance function.

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Growth Opportunities

Responsibilities

Oversee and mentor two junior attorneys
Provide guidance on complex compliance issues
Advise both marketing and investment teams
Serve as a senior point of contact with regulators when needed
Help review and strengthen a compliance function that was built internally as the business shifts toward a more mutual fund and ETF-focused strategy

Qualification

Investment management experienceCompliance oversightMutual funds expertiseETFs knowledgeRegulatory liaisonAdvisory skillsMentoring skills

Required

Deep experience in mutual funds and ETFs
Experience as a Chief Compliance Officer or senior compliance leader from an investment management firm
Ability to oversee and mentor junior attorneys
Capability to provide guidance on complex compliance issues
Experience advising marketing and investment teams
Ability to serve as a senior point of contact with regulators
Experience in reviewing and strengthening a compliance function

Company

Paragon Legal

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Paragon Legal is an legal services firm provides experienced legal professionals to corporate legal departments on demand, project basis.
dateFounded in 2006
location
San Francisco, California, USA
people-size51-200 employees
web-link
http://paragonlegal.com/

Funding

Current Stage
Growth Stage

Leadership Team

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Trista Engel
CEO
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Recent News

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