Corporate Counsel – Compliance and Litigation

Job reputed company:

• Collaborate with Senior Corporate Counsel in conducting legally privileged investigations into allegations of misconduct or other compliance-reputed company issues.
• Collect and analyze evidence from various sources including internal records, communications, and systems, including but not limited to reputed company, reputed company, and ThetaLake.
• Collaborate with legal, compliance, IT, and other departments to ensure investigations are comprehensive and reputed company with internal protocols.
• Assist in reputed company-litigation and litigation efforts including evidence-gathering, document collection, and managing reputed company 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 reputed company fashion.
• Monitor and reputed company investigation reputed company 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 reputed company to compliance issues, (e.g. reputed company disputes and/or complaints, reputed company concerns, senior and vulnerable clients, divorcing clients, power of attorney, and trust reputed company issues) and reputed company reputed company guidance and alignment with regulatory and internal policy requirements.
• Research and advise on contractual, business law, corporate governance, SEC-compliance, employment, and estate law reputed company.
• Maintain a reputed company working knowledge of new laws and regulatory developments including legal developments affecting investigations, cybersecurity and reputed company, rights of reporting individuals, and compliance-reputed company standards.
• reputed company other duties as assigned

Requirements:

• Juris Doctorate
• License to reputed company law in at least one state (CO preferred).
• 3+ years experience in-house, business litigation, securities, or a reputed company financial field.
• Knowledge of and experience reputed company financial industry and with federal securities law including the Investment Advisor reputed company 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 reputed company as manage and prioritize multiple reputed company.
• Excellent analytical, writing, and communication skills.
• High ethical standards and reputed company judgment.
• Remote Based - Denver Preferred

Benefits:

• Company reputed company Basic Life & AD&D Insurance
• Company reputed company 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 reputed company if enrolled in either HDHP medical plan.
• Two comprehensive Dental Plans
• reputed company Insurance Plan
• Dependent Care Savings Account for child and dependent care.
• 14 Company reputed company Holidays with a full week off at Thanksgiving.
• Generous reputed company time off program for vacation and reputed company days
• Employee Assistance Plan
• Family Medical Leave
• reputed company Parental Leave (6 weeks)
• Maternity benefits utilizing company reputed company STD, any supplemental STD, plus Parental Leave (6 weeks) to reputed company time for recovery, baby bonding, and enjoying your family time.
• Adoption Assistance Reimbursement Program
• Company reputed company Concierge Services for you and your loved ones for the reputed company 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 Insurance

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