Robert Half · 1 week ago
General Counsel
Denver Metropolitan Area
Full-time
Onsite
Director/Executive
$275K/yr - $300K/yrRobert Half has partnered with a well-established financial services/wealth management company to find a General Counsel and Chief Compliance Officer. This role is responsible for overseeing legal and regulatory compliance, ensuring the organization meets its fiduciary and operational obligations while managing risk.
ConsultingHuman ResourcesRecruitingSecurity
Hiring Manager
Mala Saraogi
Responsibilities
Overseeing the organization’s legal and financial regulatory compliance
Ensure the organization meets its fiduciary, regulatory, and operational obligations
Proactively managing risk
Serve as the principal legal advisor to the CEO and executive team on corporate governance, fiduciary responsibilities, and enterprise risk
Ensure FINRA and SEC compliance with applicable federal securities and investment regulations
Oversight of regulatory examinations
Qualification
Required
Overseeing the organization's legal and financial regulatory compliance
Ensuring the organization meets its fiduciary, regulatory, and operational obligations
Proactively managing risk
Serving as the principal legal advisor to the CEO and executive team on corporate governance, fiduciary responsibilities, and enterprise risk
Ensuring FINRA and SEC compliance with applicable federal securities and investment regulations
Oversight of regulatory examinations
Benefits
Great pay
Excellent ST/LT incentives
Benefits
Company
Robert Half
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Founded in 1948
10001+ employees
Funding
Current Stage
Public CompanyTotal Funding
unknown1978-01-13IPO
Leadership Team
Keith Waddell
President and CEO
Paul Gentzkow
President and Chief Executive Officer, Talent Solutions
Recent News
EIN Presswire
2025-04-14
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