Attorney

• 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.

Regulatory & Compliance Attorney

Senior Claims Attorney – Large Loss Litigated Claims

Attorney Support Assistant – Liaison

Senior Legal Analyst

Legal Recruitment Coordinator

Appellate Attorney – Trial & Defense