Regulatory & Compliance Attorney

Marquette was founded in 1986 with the sole objective of providing investment consulting at the highest caliber of service. Our expertise is grounded in our commitment to client service — our team aims to be a trusted partner and as fiduciaries, our clients’ interests and objectives are at the center of everything we do. The role of the Regulatory & Compliance Attorney is to oversee the compliance function within the firm, ensuring compliance with regulatory requirements, industry standards, and internal policies.

Requirements

• Stay up-to-date with regulatory changes and industry developments
• Partner with Marquette’s third-party compliance firm to develop, implement, and maintain comprehensive compliance programs
• Oversee the preparation of internal and external compliance reports
• Develop and deliver ongoing training programs to employees
• 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 various topics related to investment consulting business
• Review and assist with the negotiation of fund and other product documentation
• Provide legal advice in connection with marketing materials, RFPs and all other marketing efforts of the business

Benefits

• Top tier healthcare coverage
• 100% paid premium for disability and employee life insurance coverage
• Health and Dependent Care FSA and HSA options
• Company 401K contribution
• Hybrid work policy
• Paid time off & 15+ holidays
• Summer hours
• Enhanced employee assistance program
• Volunteer opportunities
• Tuition and education reimbursement
• Company-wide events