Overview
Senior Litigation Attorney Jobs in Portland, OR at Chenoweth Law Group, P.C.
Compliance Manager
Location: Palm Beach Gardens, FL
Reports to: Assistant Chief Compliance Officer
Employment Type: Full-time
Summary:
As a senior member of the Compliance Department, the Compliance Manager helps mitigate risk and ensures the firm meets regulatory obligations. This individual will lead a compliance team, manage regulatory requests and exams, and work cross-functionally to maintain strong adherence to industry rules and internal policy.
Key Responsibilities:
Manage responses to State, FINRA, and SEC examinations and inquiries
Review client complaints and ensure compliance with FINRA Rule 4530
Develop and analyze compliance reports to identify risks and trends
Update and maintain compliance policies and procedures
Partner with operations, technology, and business teams to ensure regulatory compliance
Serve as a compliance resource across the firm and represent the department on cross-functional committees
Identify departmental risks and contribute to strategic planning
Oversee business case initiatives and compliance-related technology requests
Supervisory Responsibilities:
Supervise a team of compliance professionals
Provide training, performance reviews, and goal setting
Recommend staffing adjustments when needed
Requirements:
5+ years of experience in financial services, preferably in a Broker-Dealer or RIA setting
Strong understanding of Broker/Dealer and Investment Adviser regulations
Series 7, 63, and 24 licenses required
Excellent communication, problem-solving, and organizational skills
Ability to analyze data and identify risk patterns
Proficient in Microsoft Office; able to learn internal platforms
Ability to travel on short notice (up to one week)
Preferred Attributes:
Experience with regulatory inquiries, complaints, or investigations
Strong team leadership and mentorship capabilities
Professional and empathetic communication style
Strategic mindset with the ability to manage high-volume or complex projects
Benefits:
Company-paid medical plan for employee and family
Company-paid long-term disability (LTD) insurance
Company-paid life insurance (3x annual salary)
4 weeks paid time off (PTO)
Employee-paid optional dental coverage
Employee-paid optional short-term disability (STD) insurance
Job Type: Full-time
Pay: $70,000.00 – $80,000.00 per year
Benefits:
Dental insurance
Health insurance
Life insurance
Paid time off
Vision insurance
License/Certification:
Series 24 (Required)
Ability to Commute:
Palm Beach Gardens, FL 33418 (Required)
Ability to Relocate:
Palm Beach Gardens, FL 33418: Relocate before starting work (Required)
Work Location: In person
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Title: Senior Litigation Attorney
Company: Chenoweth Law Group, P.C.
Location: Portland, OR
