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Director - Legal and Compliance

Company: Waldron Private Wealth
Location: Plymouth
Posted on: September 23, 2022

Job Description:

Waldron Private Wealth is looking to fill a Director Legal and Compliance position that will be responsible for handling general corporate legal work, overseeing and managing the execution of Waldrons compliance functionality, as well as managing all corporate contracts. This position will be able to work in a hybrid capacity within one of the following markets - Pittsburgh, PA, Detroit, MI, Washington, DC, or Philadelphia, PA. What you'll do:

  • Oversee the compliance program/policy in accordance with all relevant securities related laws and rules including the SEC, FINRA, MSRB, and State specific regulations.
  • Establish programs to ensure compliance with the Investment Advisors Act of 1940.
  • Review and identify potential areas of compliance risk for the organization and implement plans for resolution, providing guidance on how to mitigate risk.
  • Serve as a liaison with external attorneys and the Firm regarding general corporate contract and employment law related work.
  • Act as the point person with various regulatory bodies and the Firm.
  • Review, draft, and negotiate all contracts to ensure they are in compliance with applicable laws, regulations, policies, and procedures.
  • Communicate and enforce values, policies, and procedures to colleagues and other stakeholders.
  • Act as a member of the Compliance Committee. What you need:
    • Juris Doctorate Degree in the Commonwealth of PA required.
    • Minimum of seven (7) years of experience with securities compliance, including knowledge of SEC and FINRA regulations applicable to broker-dealers and registered investment advisors. Ten (10) years preferred.
    • Minimum of one (1) year of experience with the Investment Advisers Act of 1940, the Securities Act of 1933, Regulation D, ERISA, and FINRA regulations required.
    • Experience negotiating, drafting, and reviewing a variety of contracts including vendor and client agreements preferred.
    • Detail-oriented, organized, motivated, meticulous, practical, and flexible. Able to effectively handle multiple and shifting priorities.
    • Demonstrated technical expertise on the Investment Advisors act of 1940 and FINRA regulator matters.
    • An understanding and comfortability of the SEC regulations and directives for Investment Advisors.
    • An entrepreneurial focused mindset. About Us:Waldron is a boutique wealth management firm that advises a select group of multigenerational families, business owners and corporate executives. We are dedicated to providing our clients with comprehensive financial planning and independent, goal-based investment management. Waldron has been consistently ranked as a top financial advisor by industry leading publications including Barrons, Forbes, and the Financial Times.At Waldron we offer our employees:Comprehensive medical benefits currently we cover 100% of your medical premium!Dental and Vision coverageLife InsuranceShort and Long Term Disability401(k) Profit SharingPaid Time OffFinancial Planning AdvicePowered by JazzHR

Keywords: Waldron Private Wealth, Detroit , Director - Legal and Compliance, Executive , Plymouth, Michigan

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