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Title : Compliance Attorney

Location : New York - Rochester
Refer to Job # UGZK725417

Compliance Attorney The candidate will provide exceptional legal and compliance advice and guidance to internal business partners and clients. Proactively identify enhancements or adjustments to ethics and compliance activities (e.g., policies, training, monitoring) based on changes in legal requirements or business strategies. Demonstrate knowledge and successful implementation of the elements of an effective compliance program. Handle fast paced and high volume workload. Identify legal and compliance issues and business risks and escalate appropriately. Effectively communicate with all levels of the firm's organization. Identify and collaborate with subject matter experts from other departments. Identify opportunities for process improvements and efficiencies. Implement and develop a robust compliance training program. Promote and ensure compliance with the firm's Business Code of Conduct, as well as other company policies and procedures. Conduct investigations and provide guidance on remedial actions, process improvements, and disciplinary actions. Provide sound, practical judgment in the interpretation and application of relevant laws. Proactively identify and assesses business and legal risks. Proactively develop and maintain legal knowledge in specialized area(s), remaining up-to-date on current regulations, cases, trends and best practices. Communicate in a professional and persuasive manner and have appropriate support and substantiation for legal advice and recommendations. Ability to develop and implement policies, projects, processes, systems and controls across a complex company. Manage firm licensing and associated reporting including applications, renewals or amendments thereto. Assist in fulfilling client audit requirements. Work under the general supervision of the Managing Attorney. Ability to work independently, cross-functionally and collaboratively. NY State Bar License is required. Compliance experience of 1 year is preferred.

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