Regulatory & Compliance Attorney - Experienced - On-site

Regulatory & Compliance Attorney - Experienced The role of the Regulatory & Compliance Attorney is to oversee the compliance function within the firm. The Regulatory & Compliance Attorney, who reports to the Chief Compliance Officer (CCO), is responsible for helping to ensure that the firm complies with all regulatory requirements, industry standards, and internal policies. This role will be pivotal in fostering a culture of compliance across the organization while mitigating risk and protecting the firm’s reputation. The Regulatory & Compliance Attorney will play a key role in developing, implementing, and maintaining compliance programs that align with regulatory changes and support the firm’s overall business strategy as well as provide legal review on matters impacting the firm and its clients. Compensation The starting salary offer will vary based on the applicant’s education, experience, skills, abilities, geographic location, internal equity, and alignment with market data. This position is also eligible to participate in the annual incentive plan, which includes a target bonus of 20% of base salary. Benefits We Offer: Top tier healthcare coverage 100% paid premium for disability and employee life insurance coverage Health and Dependent Care FSA and HSA options Company 401K contribution Paid time off & 15+ holidays Summer hours Enhanced employee assistance program Volunteer opportunities Tuition and education reimbursement Marquette Associates is proud to be an Equal Opportunity Employer. Job Responsibilities Job responsibilities will include, but are not limited to: Stay up-to-date with regulatory changes and industry developments to guide the organization through evolving legal landscapes. Partner with Marquette’s third-party compliance firm to develop, implement, and maintain comprehensive compliance programs across all areas of the firm. Ensure that policies and procedures are designed to mitigate risk, prevent non-compliance, and promote a culture of ethics and integrity throughout the organization. Oversee the preparation of internal and external compliance reports to regulators, senior management, and stakeholders. Provide timely and accurate updates on compliance issues, emerging risks, and industry trends to the CCO. Develop and deliver ongoing training programs to employees across all levels to enhance their understanding of compliance obligations, ethical behavior, and regulatory requirements. Foster a culture of compliance through proactive education and communication. Conduct regular audits to identify potential weaknesses and noncompliance situations. Ensure adherence to investment processes and compliance manuals. Provide legal review and advice to the firm on a variety of topics related to investment consulting business, including investment advisory agreements. Review and assist with the negotiation of fund and other product documentation, including LPAs, PPMs, investment management agreements, and third-party service provider agreements. Provide legal advice in connection with marketing materials, RFPs and all other marketing efforts of the business. Qualifications Bachelor’s Degree and a Juris Doctoral degree from an accredited school of law. 5+ years of legal or compliance experience in the investment or financial services industry. Broad knowledge of securities laws including the Investment Advisers Act of 1940 and the Employee Retirement Income Security Act of 1974 (ERISA). Excellent problem-solving and organizational skills. Exceptional written and verbal communication skills that enable messages and decisions to be articulated confidently, effectively, and diplomatically. Proficient in Microsoft Office Suite and strong Excel and AI skills. How to Apply *The opportunity and direct referral are intended for Evans Scholars and members of the WGA/ESF network. Apply through Marquette Associates online application . Once you apply, email your resume to Dan Puglisi (ESF Sr. Director, Career Services) for a direct referral. #J-18808-Ljbffr Usi Insurance