- Company Name
- Mercer Advisors
- Job Title
- Corporate Counsel - Compliance and Litigation
- Job Description
-
**Job Title**
Corporate Counsel – Compliance and Litigation
**Role Summary**
Serve as an in‑house legal advisor focused on investigations, regulatory compliance, and litigation management. Collaborate with internal stakeholders and external counsel to support legal processes, manage subpoenas and regulatory inquiries, and provide guidance on compliance matters affecting the organization.
**Expectations**
- Operate independently and collaboratively across legal, compliance, IT, and business units.
- Maintain up‑to‑date knowledge of securities, privacy, cybersecurity, and other relevant legal developments.
- Meet deadlines for evidence collection, document preparation, and regulatory responses.
- Reconcile client inquiries with regulatory and internal policy requirements.
**Key Responsibilities**
- Conduct legally privileged investigations into misconduct or compliance issues.
- Acquire, analyze, and document evidence from internal records, communications, and systems (e.g., Salesforce, Box, ThetaLake).
- Coordinate with IT, compliance, and other departments to ensure comprehensive investigations.
- Support pre‑litigation and litigation activities: evidence gathering, document collection, and outside counsel management.
- Respond to subpoenas, regulatory inquiries, and audit requests—compiling documentation, reviewing for privilege or confidentiality, and preparing timely responses.
- Track investigation outcomes, identify risk trends, and recommend procedural improvements.
- Develop and enhance investigation procedures and compliance programs.
- Field advisor questions on compliance topics (client disputes, privacy, power of attorney, trusts, etc.) and provide clear, policy‑aligned guidance.
- Research and advise on contractual, corporate governance, SEC‑compliance, employment, and estate law matters.
- Perform related duties as assigned.
**Required Skills**
- Advanced investigative and evidence‑gathering capabilities.
- Proficiency in pre‑litigation support and litigation documentation.
- Strong analytical, written, and oral communication skills.
- Ability to manage multiple projects simultaneously.
- Team collaboration combined with independent judgment.
- High ethical standards and sound legal judgment.
- Familiarity with federal securities law, Investment Advisor Act of 1940, and SEC regulations.
- Experience with financial industry and estate planning issues (preferred).
**Required Education & Certifications**
- Juris Doctorate.
- Active license to practice law in at least one U.S. jurisdiction (Colorado preferred).
- Minimum of 3 years of in‑house, business litigation, securities, or related financial legal experience.