Senior Legal & Compliance Specialist

Essential Duties And Responsibilities

• Draft, review, negotiate, and manage a broad range of commercial and transactional agreements, including vendor agreements, software/SaaS agreements, consulting agreements, leases, operating agreements, development agreements, service-level agreements, and intercompany agreements.
• Review third-party contracts, identify material legal and commercial risks, and communicate recommendations to the general counsel.
• Career Development and Professional Growth
  • Coordinate execution, finalization, and filing of legal documents.
  • Maintain contract templates and manage a centralized contract repository, including tracking renewal and termination deadlines.
  • Support corporate finance, investment banking, municipal underwriting, M&A advisory, real estate, and development-related legal matters.
  • Support legal needs of affiliate entities and businesses.

Corporate Governance & Entity Management

• Maintain corporate governance records, minute books, resolutions, consents, and organizational charts.
• Manage domestic and international entity records and documentation.
• Track business registrations, licenses, and renewal requirements.
• Affiliate Entities and Businesses
  • Assist with government, regulatory, and corporate filings.

Compliance & Regulatory Support

• Support the firm's compliance program under FINRA, SEC, MSRB, and applicable state regulations.
• Draft and update written supervisory procedures, compliance manuals, and policies.
• Affiliate Entities and Businesses
  • Assist with regulatory examinations, audits, inquiries, and deficiency responses.
  • Monitor regulatory developments and support implementation of compliance updates.

Legal Technology & Operations

• Utilize legal technology platforms, contract management systems, e-signature tools, entity management software, and Microsoft 365 applications.
• Develop and maintain workflows, templates, trackers, and checklists to improve operational efficiency.
• Affiliate Entities and Businesses
  • Assist with implementation, testing, and maintenance of legal and compliance technology solutions.

Management And Decision Making Responsibilities

• Exercise independent judgment when identifying legal and compliance risks and escalating matters to the General Counsel or Chief Compliance Officer.
• Prioritize and manage multiple legal and compliance projects simultaneously.
• Maintain confidentiality and discretion when handling sensitive information.
• Recommend process improvements, workflow efficiencies, and documentation standards.
• Collaborate with internal stakeholders while ensuring adherence to legal and regulatory requirements.