Chief Compliance Officer Or Senior Counsel

Job Title

Chief Compliance Officer Or Senior Counsel

Job Overview

A prominent law firm located in Cleveland, OH seeks a seasoned compliance leader or senior-level legal advisor to support its Investment Management division. This strategic position involves guiding sophisticated financial services clients-primarily registered investment advisers and broker-dealers-through the evolving landscape of regulatory compliance, governance, and risk management. The individual selected will work in close alignment with the head of the firm’s Investment Management group, delivering expert-level insight into regulatory frameworks while contributing to the ongoing enhancement of client oversight programs.

Duties

• Lead and refine compliance infrastructures for clients within the financial services sector

• Design and implement regulatory control measures and internal audit processes

• Monitor and interpret updates to SEC and FINRA rules, translating them into practical applications

• Collaborate directly with client leadership to enhance governance and risk oversight protocols

• Support clients in regulatory examinations and responses

• Draft, revise, and ensure implementation of compliance policies and operational procedures

• Evaluate and oversee employee conduct, firm activities, and interdepartmental collaboration related to compliance

• Deliver strategic advice on client compliance programs, addressing both current requirements and anticipated regulatory developments

• Supervise compliance operations and advise on best practices aligned with industry evolution

Requirements

• Minimum of 8 years of experience in compliance roles within the investment advisory and broker-dealer space

• Extensive knowledge of federal securities laws, including a strong command of SEC and FINRA regulatory frameworks

• Proven track record of developing and managing enterprise-wide compliance strategies

• Prior experience advising or working with registered investment advisers and broker-dealers

• Strong analytical skills with a strategic, forward-thinking mindset

Education

• Juris Doctor (JD) required for candidates seeking a Senior Counsel designation

Skills

• Exceptional communication and interpersonal abilities, especially in cross-functional environments

• Ability to distill complex legal and regulatory content into actionable guidance

• Leadership and team oversight capabilities in a professional services context

• Deep understanding of financial regulatory frameworks and risk management

Job Location

• Cleveland, OH

This Ohio-based law firm was established more than 105 years ago and has 3 offices in the state. This law firm employs a sizable team of skilled attorneys and specializes in five main practice areas including business services, business transactions, government, intellectual property, and litigation. This award winning firm supports diversity in the labor force.