Chief Compliance Officer Or Senior Counsel

Job Title: Chief Compliance Officer Or Senior Counsel

Job Overview:
A distinguished law firm based in Columbus, OH is seeking an accomplished compliance and legal professional with deep experience in investment regulation to serve in a senior leadership capacity. This position will play a key role in supporting investment advisers and broker-dealer clients by shaping and directing the overall compliance framework and risk oversight structure. The successful candidate will contribute to building out long-term strategies, manage regulatory interfaces, and advise on the evolving landscape of securities law compliance.

Duties:

• Develop and lead regulatory compliance programs for investment-focused clients

• Guide clients through structuring and maintaining internal compliance frameworks

• Monitor ongoing legal developments and translate them into actionable internal policies

• Conduct periodic audits and reviews to evaluate the effectiveness of compliance controls

• Collaborate with client leadership to implement risk mitigation measures

• Oversee training initiatives and employee conduct reviews related to compliance matters

• Lead the creation and refinement of corporate governance documentation and internal controls

• Manage cross-functional compliance reviews based on industry developments and regulator expectations

• Serve as the principal point of contact for regulatory bodies including the SEC and FINRA

• Provide strategic advice on best practices in securities compliance and governance

Requirements:

• Minimum of 8 years of experience in legal or compliance roles focused on investment advisers and broker-dealers

• Deep understanding of regulatory frameworks and industry requirements related to SEC and FINRA

• Demonstrated ability to build, evaluate, and enhance compliance programs

• Experience interacting with C-level stakeholders and external regulators

• Strong analytical and advisory skills with a solutions-oriented mindset

Education:

• Juris Doctor (JD) required for candidates applying under the Senior Legal Advisor track

Skills:

• Strategic thinking and leadership in regulatory environments

• Advanced understanding of securities laws and financial services compliance

• Excellent verbal and written communication abilities

• Proficient in drafting and interpreting policies, procedures, and governance documents

• Strong interpersonal skills to lead, collaborate, and influence across teams

• Familiarity with risk assessment tools and audit techniques

Job Location:

• Columbus, 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.