Director Of Compliance

| Chicago

Based out of our Chicago office, the Director of Compliance will be responsible for all group legal matters as well as providing strategic, regulatory and governance advice, managing the internal legal function and overseeing the work of outside counsel.

The Director of Compliance will be directly involved in complex business transactions, negotiating critical contracts and overseeing the day to day legal function of the group. Apart from a senior legal background, the candidate should also have considerable work experience in a regulated financial services firm and should be well versed in global financial services regulations in the US ( SEC/CFTC) and in particular UK/EU (FCA), and Australia (ASIC)

 The role may involve some global travel to the Company’s various overseas offices.

 

Responsibilities:

 

  • Managing and completing legal initiatives and programs for the Company globally;
  • Conducting legal research and preparing written memos, articles or other correspondence;
  • Reviewing, drafting and negotiating general service contracts and other contractual documentation;
  • Anticipating, identifying, advising on and mitigating legal risk that arises in relation to programs and activities;
  • Drafting internal policies and procedures and ensuring compliance;
  • Managing all complaints, disputes and litigation, including investigation and risk assessment;
  • Managing outside legal counsel and the internal legal department;
  • Reviewing international and regional policy documents and consultations and developing the organizational position and response;
  • Drafting and negotiating intellectual property licenses, nondisclosure agreements, services contracts, employment agreements and settlement agreements;
  • Responsible for corporate governance matters of the Company and its global subsidiaries;
  • Performance of other related duties at the direction of the Company’s Group CEO.

 

The Candidate:

 

We are seeking someone who has strong academic background and has gone through reputable financial services firm training with a minimum of 7 years’ post-qualification experience in a financial services environment. Experience working in a brokerage , banking or investment banking industry is preferred.

 

Requirements:

  • MBA/Masters degree in Legal studies 
  • Minimum 7 years post qualification experience in a financial services environment;
  • Experience in directing strategy and managing complex cases;
  • Working experience with corporate governance matters and securities law;
  • Experience working in the brokerage industry preferred;
  • Experience in managing international transactions and contract relationships;
  • Experience with cost effective management of outside legal resources as required;
  • Strong working knowledge of financial services regulations;
  • Demonstrated experience in and passion for financial regulations and compliance, intellectual property, technology, real estate, commercial contracts and employment law.

 

Skills:

 

  • High degree of professional ethics, integrity and gravitas;
  • Ability to demonstrate exceptional drafting, problem solving and critical-thinking, project management, independent judgement, analytical, communication and interpersonal skills with the ability to develop and maintain effective working relationships with executive management, business partners and regulators;
  • Must be a team player who is willing to pitch in where needed in a fast-paced, dynamic company
  • Excellent command of written and spoken English;
  • Microsoft Office Suite.
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