- Take full ownership of our compliance program with the aid of our outside compliance consultants to maintain a best-in-class and proactive compliance program.
- Operate with little dependence on outside counsel to protect the company from legal risks.
- Monitor and assess the impact of regulatory changes on the company's operations, providing timely guidance to internal stakeholders.
- Prepare and submit regulatory filings, including Form ADV and other required documents.
- Create and update compliance policies and procedures, ensuring they align with industry standards and regulatory expectations.
- Provide legal counsel on a wide range of matters, including contracts, intellectual property, employment law, and corporate governance, while taking a pragmatic approach to protecting the firm from legal risks while considering the business needs.
- Identify and assess legal and compliance risks, proposing and implementing risk mitigation strategies. Work closely with internal teams to integrate risk management into business processes. Collaborate with external legal counsel, when needed.
- Participate in due diligence processes for potential mergers, acquisitions, or strategic partnerships. Draft and review legal documents related to transactions, ensuring compliance and mitigating legal risks.
- Foster and champion a culture of compliance.
- JD from a top US law school and active bar membership in good standing.
- Extensive experience in compliance and legal roles within the financial services industry.. Particular consideration given to candidates who have experience with quickly scaling businesses, and candidates who have experience particularly at the intersection of tech and wealth management.
- Strong knowledge of relevant regulations, including Investment Advisers Act and SEC rules.
- Excellent communication, interpersonal, and leadership skills.
- Proven ability to work collaboratively with cross-functional teams and provide strategic guidance to senior management.
- Demonstrated ability to work cross-functionally and innovate outside the scope of existing resources
- Comfort working in a fast-paced start-up / technology-centric environment
- Ability to translate ambiguous circumstances into clear, actionable next steps to help others navigate change
-
General Counsel
3 days ago
Larson Maddox Houston, United StatesLarson Maddox is partnering with an innovative start-up company that is at the intersection between real estate, infrastructure, and renewable energy. By having experienced founders, strong investors, and capitalizing on several of the world's most important trends, they have uni ...
-
General Counsel
3 days ago
Stephens Houston, United StatesEducate and provide legal advice and guidance to internal clients on issues concerning investment advisers and other matters relevant to the firm's business, including the Investment Advisers Act of 1940, Investment Company Act of 1940, and ERISA rul Compliance Officer, General C ...
-
General Counsel
3 weeks ago
Stephens Inc. Houston, United StatesESSENTIAL DUTIES AND RESPONSIBILITIES · * Educate and provide legal advice and guidance to internal clients on issues concerning investment advisers and other matters relevant to the firm's business, including the Investment Advisers Act of 1940, Investment Company Act of 1940, a ...
-
Associate General Counsel
1 week ago
TMEIC Houston, United StatesBarkerGilmore is our sole recruitment source for this position. · To be considered an applicant for this position, email your resume to and include the position code PR24020 in the subject line. · Job # PR24020 · Job Title Associate General Counsel · Office Location Houston, TX ...
-
Assistant General Counsel
3 days ago
Enlink Midstream, LLC Houston, United StatesResponsibilities · Reporting to the Executive Vice President, General Counsel, and Secretary, the Assistant General Counsel is responsible for managing a range of material legal matters for the company, including: (i) complex litigation, involving commercial, property, environmen ...
-
Associate General Counsel
9 hours ago
Insperity Houston, United StatesJob Description · Job DescriptionDescription & Requirements Insperity (NYSE: NSP) provides the most comprehensive suite of scalable HR solutions available in the marketplace with an optimal blend of premium HR service and technology. With 2022 revenues of $5.9 billion and more th ...
-
Vice President and General Counsel
6 days ago
American Bureau of Shipping (ABS) Houston, United StatesThe Vice President and General Counsel operates within broad guidelines established by the CEO of ABS Group and Executive Vice President - General Counsel and Secretary, the Vice President and General Counsel of ABS Group serves as the chief legal adviser of the Company and leads ...
-
Paralegal – Office of General Counsel
3 weeks ago
InsideHigherEd Houston, United States Administrative Jobs ,Security Sensitive Position?:Yes · Hours of Work:8:00 AM - 5:00 PM M-F · Posting Number:TSU202926 · Official TSU Title:Paralegal – Office of General Counsel · Grant Title:N/A · Job Description Summary / TWC Summary:The Office of General Counsel is seeking a skilled and experience ...
-
General Counsel
2 weeks ago
BAKERRIPLEY Houston, United States**Essential Function** · - Provides strategic legal advice to management and general legal guidance to the Agency's departments and divisions while developing trusting relationships with senior staff, Board members and other key stakeholders. · - Ensures that the executive team i ...
-
Paralegal - Office of General Counsel
3 weeks ago
Texas Southern University Houston, United StatesThe Office of General Counsel is seeking a skilled and experienced paralegal to support our legal team using their work experience and organizational skills to prepare and maintain legal documents, file motions, legal briefs, interview clients and witnesses, and conduct legal res ...
-
Associate General Counsel
2 days ago
TMEIC Houston, United States**Description**: · **_BarkerGilmore is our sole recruitment source for this position._** · **_Job # _**PR24020 · **_Job Title _**Associate General Counsel · **_Office Location_** Houston, TX Preferred · **_Business Function/Department _**Legal · **_Sales Territory, if applicable ...
-
Assistant General Counsel
3 weeks ago
Arnold Ventures LLC Houston, United States: · Arnold Ventures is a philanthropy whose core objective is to maximize opportunity and minimize injustice. We are dedicated to tackling some of the most pressing problems in the United States. We invest in sustainable change, building it from the ground up based on research, d ...
-
Corporate Counsel/assistant General Counsel
5 days ago
MainSail Corporate Solutions Houston, United StatesIn-House Corporate Legal Counsel/Assistant General Counsel · Overview: · **Responsibilities**: · 1. Draft, review, negotiate, and manage a wide range of contracts and agreements, including, but not limited to, master service agreements, purchase orders, vendor contracts, and lice ...
-
Vice President and General Counsel
1 week ago
American Bureau of Shipping (ABS) Houston, United States**What You Will Do**: · - Collaborates with other senior executives to develop short · - and long-range strategic and business plans for ABSG worldwide including ensuring legal compliance with organic and inorganic growth initiatives including mergers and acquisitions. · - Writes ...
-
Associate General Counsel
4 weeks ago
Kelsey-Seybold Clinic Pearland, United StatesThe Associate General Counsel provides legal guidance on health care operations, insurance, HIPAA, and affiliated entity matters and attends to other legal needs for Kelsey-Seybold Clinic. · Responsible for legal services relating to the day-to-day operations of Kelsey-Seybold Cl ...
-
Associate General Counsel
3 weeks ago
Kelsey Seybold Clinic Pearland, United StatesResponsibilities · The Associate General Counsel provides legal guidance on health care operations, insurance, HIPAA, and affiliated entity matters and attends to other legal needs for Kelsey-Seybold Clinic. · * Responsible for legal services relating to the day-to-day operations ...
-
Assistant General Counsel
3 weeks ago
Igloo Katy, United StatesOverview · Who We Are: · Millions of people around the world use Dometic products. They are campers, RV users, boat owners, and lovers of the outdoor life. They all share the same intense feelings - a longing for freedom and adventure, a desire to explore the world and to stay aw ...
-
Associate General Counsel
1 week ago
KS Management Services, LLC Pearland, United States**Responsibilities** · The Associate General Counsel provides legal guidance on health care operations, insurance, HIPAA, and affiliated entity matters and attends to other legal needs for Kelsey-Seybold Clinic. · Responsible for legal services relating to the day-to-day operatio ...
-
HP, Inc. Spring, United StatesVice President, General Counsel, Associate, Counsel, President, Manufacturing, Management ...
-
HP Inc Spring, United StatesThe Legal Affairs team is responsible for all of HP's legal matters, including government relations, brand security, intellectual property, ethics and compliance and legal counsel representation in every region. We are a mix of attorneys and non-attorneys. We value teamwork, enga ...
General Counsel - Houston, United States - Compound
![Default job background](https://contents.bebee.com/public/img/bg-user-ex-1.jpg)
Description
Overview
Compound Planning, with over $1B AUM added since 2022, is a high growth digital family office for entrepreneurs, professionals, and retirees. We're a team of seasoned financial advisors, technologists, tax professionals, and operators delivering a magical experience to clients powered by our world class team, holistic approach, and proprietary digital platform.
We are hiring an experienced executive to be our general counsel and chief compliance officer. In this dual role, you will play a crucial part in ensuring the company's compliance with regulatory requirements while also providing strategic legal counsel to support our business objectives. You know the wealth management industry is ripe for change, and you want to be part of the journey.
What you'll do
Competencies and Skills
Working at Compound
Compound's work culture is designed to help you maximize your effectiveness. Your job will be doing. We ruthlessly prioritize protecting your time and potential. You'll work with exceptional teammates, who want to help you succeed. $84 trillion dollars will be passed on to the next generation in the next couple of decades. The companies that earn their trust to manage that wealth will be immensely more successful than today's largest financial institutions.
Compensation
Base salary compensation for this role starts at $180,000+ for candidates located in New York, San Francisco, and Denver.
#J-18808-Ljbffr