What are the responsibilities and job description for the VP of Legal and Compliance position at Cascadia Capital?
Cascadia Capital - VP of Legal & Compliance
Cascadia Capital is an independent investment bank providing middle-market entrepreneurs, family-owned businesses, and private equity firms with merger and acquisition, capital raising, and strategic advisory services. For over 20 years, the firm has strived to deliver the best outcomes for its clients by leveraging its extensive transaction experience, deep domain expertise, and commitment to building long-term relationships. Cascadia is a pure advisory firm and is not conflicted by trading, lending, research, or cross-selling business. For more information, visit the firm's website at www.cascadiacapital.com
Cascadia is seeking a VP of Legal & Compliance to serve as the internal lead for all regulatory and legal matters. The ideal candidate has a background in corporate or regulatory law and some exposure to broker/dealer FINRA regulatory compliance. This individual will play a key role in helping the firm manage its risk and regulatory compliance across all areas of operation.
Responsibilities include:
The ideal candidate will have some combination of the following skills, experience and credentials:
Cascadia Capital is an independent investment bank providing middle-market entrepreneurs, family-owned businesses, and private equity firms with merger and acquisition, capital raising, and strategic advisory services. For over 20 years, the firm has strived to deliver the best outcomes for its clients by leveraging its extensive transaction experience, deep domain expertise, and commitment to building long-term relationships. Cascadia is a pure advisory firm and is not conflicted by trading, lending, research, or cross-selling business. For more information, visit the firm's website at www.cascadiacapital.com
Cascadia is seeking a VP of Legal & Compliance to serve as the internal lead for all regulatory and legal matters. The ideal candidate has a background in corporate or regulatory law and some exposure to broker/dealer FINRA regulatory compliance. This individual will play a key role in helping the firm manage its risk and regulatory compliance across all areas of operation.
Responsibilities include:
- Draft and maintain template legal agreements including Engagement Letters, Non-Disclosure and Confidentiality Agreements
- Negotiate legal agreements with clients / client counsel as needed
- Review and advise on legal terms for material firm contracts
- Primary point of contact with company's outside counsel on all matters
- Evaluate and manage Conflicts Check process as needed
- Serve as Company Secretary
- Manage disputes and litigation matters, in coordination with outside counsel as needed
- Primary point of contact with company's Compliance service provider / Chief Compliance Officer on all matters
- Ensure timeliness and accuracy of all required regulatory filings
- Serve as internal lead with regulators on compliance matters
- Manage the firm's Restricted List
- Coordinate efforts related to Regulatory audits, reviews and examinations in partnership with Chief Compliance Officer
The ideal candidate will have some combination of the following skills, experience and credentials:
- 4-8 years of experience in the legal field, ideally with some exposure to regulatory compliance
- J.D. degree from an accredited law school
- Bar admission in current good standing, with a license to practice in at least one U.S. state
- FINRA series 7/63/24 and any additional applicable licenses a plus
- Prior experience in broker/dealer FINRA regulatory compliance a plus
- Experience working in, or on behalf of, investment banking firms or knowledge of the industry
- A proactive orientation towards recommending and taking actions that can reduce risk across the organization
- A collaborate approach to working with internal stakeholders in order to maintain a commercial approach to legal/regulatory management
Recommended Skills
- Auditing
- Confidentiality
- Investment Banking
- Networking
- Self Motivation
- Risk Analysis
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