Commercial Counsel
Rad AI
Corporate Counsel – Compliance and Litigation
Mercer Advisors
full-time
Posted on:
Location Type: Remote
Location: Remote • 🇺🇸 United States
Visit company websiteJob Level
Mid-LevelSenior
Tech Stack
Cyber Security
About the role
- Collaborate with Senior Corporate Counsel in conducting legally privileged investigations into allegations of misconduct or other compliance-related issues.
- Collect and analyze evidence from various sources including internal records, communications, and systems, including but not limited to Salesforce, Box, and ThetaLake.
- Collaborate with legal, compliance, IT, and other departments to ensure investigations are comprehensive and aligned with internal protocols.
- Assist in pre-litigation and litigation efforts including evidence-gathering, document collection, and managing outside counsel.
- Assist in responding to subpoenas, regulatory inquiries, and audit requests, including gathering relevant documents and information, reviewing and redacting privileged or confidential information, compiling responses in a timely fashion.
- Monitor and track investigation outcomes and trends to identify potential areas of risk.
- Support the development and enhancement of investigation procedures and compliance programs.
- Field and respond to advisor questions related to compliance issues, (e.g. client disputes and/or complaints, privacy concerns, senior and vulnerable clients, divorcing clients, power of attorney, and trust related issues) and provide clear guidance and alignment with regulatory and internal policy requirements.
- Research and advise on contractual, business law, corporate governance, SEC-compliance, employment, and estate law matters.
- Maintain a current working knowledge of new laws and regulatory developments including legal developments affecting investigations, cybersecurity and privacy, rights of reporting individuals, and compliance-related standards.
- Perform other duties as assigned
Requirements
- Juris Doctorate
- License to practice law in at least one state (CO preferred).
- 3+ years experience in-house, business litigation, securities, or a related financial field.
- Knowledge of and experience within financial industry and with federal securities law including the Investment Advisor Act of 1940 and financial regulators including the SEC.
- Knowledge of and experience analyzing estate planning issue and documents preferred.
- Ability to work effectively with teams and independently as well as manage and prioritize multiple projects.
- Excellent analytical, writing, and communication skills.
- High ethical standards and sound judgment.
- Remote Based - Denver Preferred
Benefits
- Company Paid Basic Life & AD&D Insurance
- Company Paid Short-Term and Long-Term Disability Insurance
- Supplemental Life & AD&D; Short-Term Disability; Accident; Critical Illness; and Hospital Indemnity Insurance
- Three medical plans offerings including two High Deductible Health Plans and a Traditional Co-Pay medical plan.
- Health Savings Account (HSA) with company contributions on a per pay period basis if enrolled in either HDHP medical plan.
- Two comprehensive Dental Plans
- Vision Insurance Plan
- Dependent Care Savings Account for child and dependent care.
- 14 Company Paid Holidays with a full week off at Thanksgiving.
- Generous paid time off program for vacation and sick days
- Employee Assistance Plan
- Family Medical Leave
- Paid Parental Leave (6 weeks)
- Maternity benefits utilizing company paid STD, any supplemental STD, plus Parental Leave (6 weeks) to provide time for recovery, baby bonding, and enjoying your family time.
- Adoption Assistance Reimbursement Program
- Company Paid Concierge Services for you and your loved ones for the spectrum of caring needs for your aging parents, young children, life’s challenges and more.
- 401(k) Retirement Plan with both Traditional and Roth plans with per pay period match
- Pet Insurance
Applicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard skills
Juris Doctoratebusiness litigationsecurities lawestate planningevidence analysisdocument collectionregulatory compliancecontractual lawcorporate governancecybersecurity
Soft skills
analytical skillswriting skillscommunication skillsteam collaborationindependent workproject managementethical standardssound judgment
Certifications
License to practice law
