11 days old

Associate General Counsel & Chief Compliance Officer

Tiedemann Advisors
Dallas, TX 75201
Job Description

We are seeking a bright and enthusiastic regulatory lawyer to lead the firms U.S. compliance team and work with the firms legal team. This person will be responsible for all aspects of the firms compliance programs, serve as liaison on company-wide initiatives, interface with all of the firms business units, participate in all the Compliance Teams general functions and work on special projects. This individual must be able to understand the practical impact of a range of regulations on the day-to-day business with an aim towards promoting efficiency, accuracy and innovation. The AGC/CCO will be expected to be current on regulatory developments and best practices to help integrate such practices into our businesses. As the need to stay abreast of regulatory change and technology progresses, the role and responsibilities may vary and evolve to meet the changing demands of the firm. Importantly, the AGC/CCO will be expected to be a strong collaborator who will foster relationships across the firm and coordinate regularly and constructively with all relevant functional groups. The AGC/CCO will serve as a strong steward for the firm, who will interface with senior management on compliance and legal matters. Tiedemann values its reputation, integrity and its principled approach to business. It strives to apply the highest regulatory standard and best practice of all jurisdictions in which it operates. The Legal and Compliance teams are central to this effort, assessing and mitigating the legal and regulatory risk across all areas of its business, advising on initiatives and changes in the regulatory landscape, leading trainings and providing relevant and solutions-oriented guidance and assurance for the firms management. The AGC/CCO will report to Tiedemanns Chief Operating Officer and General Counsel.

Job Responsibilities

  • Manage the Compliance team and enhance and maintain the Compliance programs to support day-to-day needs.
  • Interface with the Operations, Advisor teams, Legal and other business units, as appropriate, to identify and resolve conflicts of interest and address issues that arise in the conduct of business.
  • Handle regulatory inquiries and manage on-site examinations.
  • Prepare and conduct training.
  • Be informed of and anticipate changes in regulatory regimes in each jurisdiction and implement appropriate changes to compliance practices and policies.
  • Identify potential areas of compliance vulnerability and risk and lead projects relating to the enhancement of compliance procedures, policies and internal controls that support the advisory business.
  • Negotiate relevant legal documents, including non-disclosure, investment advisory and vendor agreements.
  • Continuous development to identify opportunities for innovation, training and development, exploration, and project work.
  • Travel to various offices to strengthen relationships and partner closely with people throughout the firm.
Qualifications

The ideal candidate will be a highly regarded professional with a proven record as a self-starter and team player who is able to work with the business to develop and implement legal and compliance solutions that are pragmatic, effective and forward-looking, spot risks and troubleshoot. The candidate will be able to work successfully with a diverse set of individuals and constituencies. In addition, the candidate should have the following:

  • Excellent written and verbal communication skills; the role requires collaborative and constructive interaction with all areas of the firm, including senior management, client advisors, operations, client service and the investment team. Clear presentation, succinct writing and articulate conversation are valued.
  • A commercial instinct, sound judgement, discretion and willingness to express a point of view.
  • An organized and analytical approach, being diligent, curious, thorough and logical with a commitment to follow through.
  • An appreciation for technology.
  • A Juris Doctorate, strong academic background and 8-10 years post-JD experience spent at an asset manager, wealth manager or in private practice at a law firm.


Additional Information

Applications are strongly encouraged from candidates reflecting diverse educational, cultural and experiential backgrounds.

Company Description

Tiedemann Advisorsis an owner-managed independent investment and wealth advisor with a single focus: to make sure our clients wealth accomplishes what matters most to them. Tiedemann provides high-net-worth individuals, families, trusts, foundations and endowments with customized, objective investment management, trust and estate, and wealth planning services. We are proactive, innovative advisors who provide access to a broad set of exceptional investment strategies globally, including impact or responsible investments, and full transparency on investment decisions, fees and performance. Serving clients since 1999, Tiedemann Advisors is headquartered in New York, with offices in San Francisco, Seattle, Portland, Dallas, Aspen, Palm Beach, and Washington, D.C. The firm provides trust services through Tiedemann Trust Company, a state-chartered trust company located in Wilmington, Delaware. Together, Tiedemann oversees approximately $25billion in assets.

Categories

Posted: 2021-02-16 Expires: 2021-03-22

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Associate General Counsel & Chief Compliance Officer

Tiedemann Advisors
Dallas, TX 75201

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