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Financial and Regulatory Compliance Attorney
1 month ago
About Eckard Enterprises, LLC:
Eckard Enterprises, LLC is a leading firm focused on natural resources, energy, and diversified financial markets. We pride ourselves on delivering strategic, compliant, and sustainable solutions to our clients. As we grow, we are seeking a Financial and Regulatory Compliance Attorney to join our legal team and ensure adherence to evolving financial laws and regulatory requirements.
Position Overview:
We are looking for a Financial and Regulatory Compliance Attorney to oversee all regulatory compliance matters and provide legal advice on financial transactions. In this role, you will be responsible for ensuring that Eckard Enterprises adheres to all federal and state laws, developing internal policies, and supporting corporate governance initiatives. You will also be responsible for regulatory filings and interactions with regulatory agencies to maintain our firm’s high standards of legal and ethical compliance.
Key Responsibilities:
- Regulatory Compliance:
- Provide expert guidance on compliance with applicable laws and regulations.
- Develop, implement, and maintain compliance programs and policies that align with current regulatory frameworks.
- Stay current on regulatory changes and proactively advise the company on necessary updates to practices and procedures.
- Corporate Governance:
- Ensure compliance with corporate governance regulations and best practices.
- Advise on internal policies, codes of conduct, and ethical standards.
- Work closely with senior management to advise on regulatory matters affecting corporate governance.
- Financial Transactions:
- Support legal aspects of financial transactions, including investments, acquisitions, and mergers.
- Draft, review, and negotiate contracts, agreements, and other financial legal documents.
- Provide legal advice on the structure and regulatory implications of new financial products and services.
- Regulatory Liaison:
- Manage interactions with external legal counsel on complex regulatory and compliance matters.
Qualifications:
- Juris Doctor (JD) degree from an accredited law school.
- Active membership in a state bar (jurisdiction where the firm operates is preferred).
- 5+ years of experience in regulatory compliance, financial services law, or a related field.
- Understanding of U.S. financial regulations (e.g., Dodd-Frank, BSA, AML) and experience in managing compliance programs.
- Proven ability to interpret and apply complex legal and regulatory frameworks to real-world business operations.
- Strong interpersonal, negotiation, and communication skills.
- Ability to work independently and collaboratively in a fast-paced environment.
- Experience working with financial institutions or investment firms is preferred.
Why Join Eckard Enterprises, LLC?
- Competitive compensation and comprehensive benefits.
- Be part of a growing company that values compliance, integrity, and strategic growth.
- Collaborate with a dedicated team of professionals in a supportive and dynamic work environment.
- Opportunity for career growth and advancement in the legal and financial services industry.
