Chief Compliance Officer and General Counsel
Job Type
Full-time
Description

Chief Compliance Officer and General Counsel Opportunity with Laird Norton Wealth Management 


POSITION SUMMARY


Responsible for coordinating and assisting in the management of the Company’s legal affairs including business transactions, corporate governance, contract review, conducting research, drafting legal documents, and assisting in negotiations. Work with management to assess, organize, and manage and serve as liaison with the Company’s outside legal counsel. 

Provides structure and support for corporate governance by the Board of Directors. Acts as a liaison with the Board of Directors and works closely with senior management. Provides corporate legal advice and research to the Board and senior management. Supports the Company’s legal, compliance and corporate efforts by maintaining corporate records and documentation, as required by applicable law and regulations.


ESSENTIAL FUNCTIONS, DUTIES, and RESPONSIBILITIES


This is a representative list of the general duties the position may be asked to perform and is not intended to be all-inclusive.


Leadership

  •  Partner with CEO and Senior Management with respect to risk management, legal issues and any relevant strategic initiatives.
  •  Serve on various committees at the pleasure of the CEO
  •  Provide supervision and leadership regarding all legal matters for the organization.

General Counsel

  • Lead risk management function for Company, including monitoring and assisting in the management of Company legal affairs and strategic initiatives.  
  • Serve as “clearing house” for Company legal issues and assist in the determination of which matters are to be handled internally and those which need to be turned over to outside counsel.
  • Coordinate and supervise services of outside counsel for all litigation as well as matters determined to require specific legal expertise; review and approve statements for outside legal services.
  • Manage and communicate legal issues with internal staff and outside counsel.
  • Provide corporate legal advice and research, as needed, to the Board and senior management.
  • In conjunction with the Chief Compliance Officer, oversee registration and licensing of the Company and employees as required by various state and federal regulatory agencies.
  • Conduct legal research as needed.
  • Assist in review and negotiation of agreements between Company and third-party investment managers, service providers and vendors.
  • Provide advice and assistance to the Managing Director of Human Resources with respect to HR-related legal matters including but not limited to: HR policies and procedures; employment issues relating to hiring, termination, and other critical points in the employment relationship; employee benefits; employment contracts; and executive compensation.

Corporate Secretary

  • Attend Board and Committee meetings, take meeting notes, and prepare meeting minutes.
  • Provide guidance regarding procedural matters and assist in identifying legal issues as these arise during Board, Committee, and owners’ meetings.
  • Support management’s responsiveness to the Board by facilitating continuity of communication between the Board and senior management.
  • Assist in identifying corporate governance enhancements and draft governance documents as needed.
  • Ensure that internal operating units are kept apprised of Board actions affecting their areas of operation.
  • Oversee maintenance of necessary corporate records, including minute books and ownership records.
  • Assist in preparation of Board and Committee meeting agendas.
  • Oversee assembly of materials distributed to Directors and Committees in preparation for meetings and ensure timely delivery of such.
  • Administer the provisions of the Company’s LLC Agreement (the LLC Agreement) and the Limited Partnership Agreement (the LP Agreement) of LNTC Equity LP (LNLP), including but not limited to the following: prepare and update policies, procedures, and necessary documentation regarding transfers of LLC units and LP interests permitted or required under the LLC Agreement and the LP Agreement; oversee assembly and delivery of unitholder/LP communications to ensure compliance with applicable federal and state laws and regulations (for example, the Redemption Program disclosure document provided annually to LNLP owners); monitor application of federal and state securities laws to transfers of LLC units and LP interests. Provide other assistance and recordkeeping to the Board of Directors as requested.
  • Certify Board resolutions, officers’ authority, and other matters as needed.
  • Provide entity information as appropriate in response to internal and external requests.

JOB SPECIFICATIONS


Experience, Education, Professional Designations

  • Typically has 10 or more years corporate/business/governance/securities law experience as a practicing lawyer.  
  • Familiarity with state and federal statutes governing trust companies (WA and SD knowledge desired); understanding of the Investment Advisers Act of 1940 and related statutes, rules and regulations. 
  • In depth familiarity with and understanding of (i) the laws relating to corporations, LLCs and partnerships and (ii) state and federal securities laws applicable to the issuance of equity interests by the Company and LNLP and the transfer of such equity interests.
  • Four-year college degree.
  • JD required
  • Series 65 or 66 registration desired

Skills and Attributes

  • Computer skills including Microsoft Office Suite are required.
  • Solid knowledge of legal issues relating to business entities, business transactions, corporate governance and securities laws. Highly motivated, with a strong work ethic and integrity.
  • Strong analytical and research skills.
  • Highly organized, with attention to details.
  • Excellent written and verbal communication skills.
  • Ability to work in a collaborative, team environment that strives for consensus wherever possible and seeks success of the team rather than the individual.
  • Excellent interpersonal and communication skills as evidenced by ability to professionally, personally and effectively interact with officers, staff, Board, and others and contribute to a respectful work environment.
  • Portrays a professional company image both internally and externally.
  • High ethical standards and the ability to place the clients’ needs before one’s own.
  • Ability to maintain confidentiality and exhibit professionalism at all times, with experience in handling sensitive and confidential subject matter.
  • This position requires attendance at meetings outside of core business hours.
  • Ability to stay current in industry knowledge.
  • Demonstrates ability and willingness to take on new responsibilities as business and organization needs require.

Requirements


Candidates must meet all employment qualifications in force at time of hiring, including successful passing of background & credit checks and any pre-employment examinations, signing of all employee agreements, and have the ability to perform the essential functions, duties and responsibilities set forth in a consistent and efficient manner.


ADDITIONAL INFORMATION:


Our firm aims to cultivate an inclusive environment and culture that fosters growth, collaboration and acceptance; where we celebrate the diverse voices and perspectives of our employees; and where employees feel empowered to bring their full, authentic selves. Our diversity drives us forward and helps us build deeper relationships with our clients and our community.

LNWM is an equal opportunity employer. LNWM prohibits discrimination against employees, applicants for employment, individuals providing services in the workplace pursuant to a contract, unpaid interns and volunteers based on their actual or perceived sexual orientation, gender, gender identity, gender expression, ancestry, marital status, registered domestic partner status, military and veteran status, civil air patrol status, national origin, immigration status, pregnancy (including childbirth and related medical conditions, and including medical conditions related to lactation) or medical condition (cancer and genetic characteristics)


OUR TEAM:


You will be joining a team that is dedicated to helping our clients achieve their goals by providing exceptional investment management and wealth planning services. Putting our clients first guides our decision-making and culture, and allows us to build long-term, caring and trusted relationships.


We love working in a professional yet relaxed working environment. We encourage openness, active listening, mutual respect, candor and integrity. We cultivate a diverse and inclusive work environment where we encourage a work/life balance through a generous PTO policy and flexible work hours. We enjoy each other's company at team and firm-wide outings.


OUR COMPENSATION AND BENEFITS:


We provide a competitive salary commensurate with your experience and skills and offer an annual bonus based on company and individual performance.


Laird Norton Wealth Management offers excellent benefits including medical, dental and vision coverage, generous time off, flexible spending plans for health care and dependent care, 401(k) plan, paid transportation pass, and more. To learn more about LNWM please visit our website (www.lairdnortonwm.com).