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Gradient Financial Group, LLC is a leading nationwide financial services company consisting of eleven entities. We are seeking a motivated Legal and Compliance Manager to join our Gradient Financial Group, LLC team. At Gradient, culture matters. On a regular basis, we get together for food days, friendly competitions, and many other special events. Most importantly, our open-door policy means you’re always in the know when it comes to significant decisions and changes.
When it comes to choosing your next path, you may be wondering what to expect. If you join our crew, we provide:
- Health insurance
- Dental insurance
- Vision insurance
- Paid time off (PTO)
- Volunteer time off (VTO)
- Hybrid remote work options (REMOVE FOR RIA)
- 401K
- Life Insurance
- Flexible schedules
- Monthly Social Activities
- Casual dress code
- Professional development
Now, you’re probably wondering a little more about what we are looking for, so here it is:
- Bachelor’s Degree – Required
- Juris Doctor degree – Preferred (but will consider relevant industry experience in lieu of advanced degree)
- Series 6, 26 and 56/66 – Securities experience – Preferred
- 3+ years of experience practicing as an attorney – Preferred
- Experience in financial services regulatory compliance – Preferred
Want some more specifics? If you join the Gradient crew, here’s what you’ll be doing:
- Provide general advice on issues pertaining to insurance, SEC and FINRA rules and regulations
- Work with Chief Compliance Officer(s) on regulatory required annual reporting for FINRA broker dealer compliance programs (3120 and 3130) and Investment Advisors Act (Rule 206 (4)-7
- Provide legal and compliance guidance regarding business initiatives; guidance on compliance training and communications to the field and business units
- Provide assistance and legal support to both Corporate management on supervisory and compliance issues; negotiate contracts with financial product providers, including selling agreements, revenue sharing contracts
- Monitor new laws and regulatory activity and assess impact to supervisory and compliance policies and procedures
- Monitor and maintain updates to Compliance Manual and Investment Advisory Compliance Guide
- Respond to securities and insurance department regulatory inquiries; review due diligence submissions by business units regarding new products, especially alternative investments work.
- Offer counsel on a variety of legal issues
- Manage various projects and deadlines
- Explain legal language
- Provide assistance with joint ventures, strategic partnership deals, and mergers and acquisitions
- Draft terms and conditions in agreements
- Ensure legal objectives are met
- Research unique legal issues impacting the organization by identifying applicable statutes, judicial decisions, and codes
- Keep abreast of legislative changes that may affect the company and its affiliates
- Perform pre-litigation work to minimize risks and maximize legal rights
- Review advertising and marketing materials to ensure compliance with legal requirements when needed
- Develop solutions to complex legal questions
- Assist in the creation and implementation of compliance policies and procedures for internal and external customers, to include:
- Suitability review
- Complaint Handling
- Policy & Procedures creation and review
- Internal/External Compliance Inquiries
- Legal Analysis and Review
- Contract Drafting/Review
- Business Entity Filings and Corporate Meeting Minute Drafting
- Manage internal and external customer relationships, vendors, companies
- Respond to internal legal and compliance inquiries, including calls, emails and face-to-face
- Assist executive leadership and General Counsel with elevated legal and compliance inquires
- Provide training to company and its affiliates on substantive legal topics
- Implement necessary policy and procedure changes in order to comply with laws, rules, and regulation
- Partner to determine, initiate, and lead key legal and compliance initiatives
- Provide suggestions for new or enhanced events and/or services, assist in the development of events/services, and provide ongoing feedback to management
- All other duties as assigned
Whether you take flight at our Minnesota or Kansas office, Gradient is committed to helping you reach your career’s maximum altitude. We’re proud of our track record of helping our employees reach their potential in their chosen field while also helping them explore other parts of our company and industry. We’re committed to our people in a way that truly shows that at Gradient, the sky really is the limit.
Job Type: Full-time
Benefits:
- 401(k)
- Dental insurance
- Flexible schedule
- Health insurance
- Paid time off
- Vision insurance
Physical setting:
- Office
Schedule:
- 8 hour shift
- Monday to Friday
Ability to commute/relocate:
- Saint Paul, MN 55126: Reliably commute or planning to relocate before starting work (Required)
Work Location: Hybrid remote in Saint Paul, MN 55126
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