What are the responsibilities and job description for the Regulatory & Compliance Attorney position at Marquette Associates?
Marquette was founded in 1986 with the sole objective of providing investment consulting at the highest caliber of service. Our expertise is grounded in our commitment to client service — our team aims to be a trusted partner and as fiduciaries, our clients’ interests and objectives are at the center of everything we do. Our approach brings together the real-world experience of our people and our dedication to creativity and critical thinking in order to empower our clients to meet their goals.
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.
\n- 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.
- 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.
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
Hybrid work policy
Paid time off & 15 holidays
Summer hours
Enhanced employee assistance program
Volunteer opportunities
Tuition and education reimbursement
Company-wide events
Marquette Associates is proud to be an Equal Opportunity Employer.
Salary : $130,000 - $225,000