Chief Compliance Officer Or Senior Counsel

Job Title

Chief Compliance Officer Or Senior Counsel

Job Overview

A distinguished law firm located in Cincinnati, OH is seeking a seasoned professional to join its Investment Oversight team, either in a leadership compliance role or as a senior legal advisor. This individual will guide and shape compliance infrastructure and advisory operations for clients in the investment management space, particularly those operating as registered investment advisers and broker-dealers. The position involves strategic oversight of regulatory practices and continuous development of governance and risk protocols.

Duties

• Guide clients in structuring and implementing compliance frameworks aligned with federal regulatory requirements

• Design long-term strategic plans to strengthen compliance functions and reduce risk exposure for investment entities

• Maintain oversight of internal control systems, ensuring alignment with industry standards and evolving regulatory expectations

• Collaborate with leadership and department heads on policy enhancements and compliance initiatives

• Supervise conduct management and firm-wide adherence to ethical and operational standards

• Assess regulatory developments from the SEC and FINRA, and interpret their impact on client operations

• Lead policy updates, conduct procedural reviews, and recommend adjustments to reflect best practices

• Advise on risk mitigation, governance structuring, and enterprise-wide compliance integration

• Support regulatory audits and examinations by providing necessary documentation and guidance

Requirements

• Minimum of 8 years of experience in regulatory compliance, legal advisory, or related areas

• Prior background working with registered investment advisers and broker-dealers

• In-depth knowledge of federal regulatory regimes, particularly SEC and FINRA frameworks

• Strong strategic planning and risk management expertise

• Ability to synthesize complex regulatory updates into actionable guidance

• Proven experience in a leadership or senior advisory capacity within the financial services or legal sectors

Education

• Juris Doctor (JD) degree is required for candidates seeking to serve in the Senior Legal Advisor role

Skills

• Exceptional communication and leadership capabilities

• Strong analytical mindset with meticulous attention to regulatory detail

• Ability to translate technical rules into practical compliance strategies

• Skilled in managing multi-disciplinary teams and overseeing large-scale policy rollouts

• Adept at working in fast-paced, high-stakes environments with shifting regulatory landscapes

Job Location

• Cincinnati, 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.