Vice President

Our client, an independent investment bank is looking for a VP of Legal and Compliance to join their team. The ideal candidate will have roughly 8 - 15 years of experience overseeing legal and compliance matters pertaining to regulatory requirements and have a deep understanding of the financial services industry, specifically investment banking.

Job Details COMPANY: Investment Bank POSITION: VP, Legal and Compliance LOCATION:

Austin, Texas OR Minneapolis, Minnesota, Seattle Washington IN OFFICE: 4 days in office, 1 day WFH COMPENSATION: $200k - $250k base, not including bonus JURIS DOCTOR (JD): Required Responsibilities of the VP, Legal and Compliance: Provide strategic legal advice on a wide range of legal issues, including corporate governance, regulatory compliance, risk management, and employment law Develop and implement legal strategies aligned with business objectives Ensure compliance with all applicable laws and regulations Manage relationships with regulatory authorities and oversee responses to regulatory inquiries and investigations Oversee the drafting, review, and negotiating of contracts and agreements, including those related to engagement letters, mergers & acquisitions, employment and severance agreements, and other significant transactions Manage legal aspects of deal structures and transactions to minimize risk and ensure compliance Oversee all litigation and disputes, including coordination with external legal counsel Develop a robust system for monitoring and managing legal and compliance risk and mitigating potential litigation and/or compliance risk Create and implement internal policies and procedures to address legal and compliance risks, and to ensure compliance with evolving laws and regulations Ensure that legal and compliance policies that apply to employees are effectively communicated and integrated into day-to-day operations Conduct training and awareness programs for employees on legal and regulatory matters Remain informed about changes in legal and regulatory requirements and industry best practices, ensuring timely adaptation and implementation Requirements of the VP, Legal and Compliance: Juris Doctor (JD) degree from an accredited law school 8-15 years of legal and compliance experience within the financial services sector. Investment banking experience preferred but not required Licensed to practice law in [States], US Deep understanding of regulatory frameworks affecting investment banking FINRA requirements, and corporate governance Excellent written and verbal communication skills Strong analytical and negotiation skills Proven ability to handle complex legal and compliance matters Experience providing strategic legal and compliance guidance to management teams Verification of identity, education, prior employment, and references may be required