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
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