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 • Pet InsuranceApply Now Apply Now