AVP, Associate General Counsel, Compliance Officer

Boyd Watterson is a dynamic company built around integrity and collaboration. We value the insights and perspectives of a broad, diverse group of individuals and believe that our collective success is dependent on an inclusive environment. A two-time Northcoast 99 award recipient, Boyd stands out as one of the top 99 employers in northeast Ohio for attracting and retaining top talent in the region.

Boyd Watterson offers a highly competitive total compensation package. Our benefits include:

• • Medical, Dental & Vision Plans
  • Company paid Life Insurance
  • Health Savings Accounts
  • Flexible Spending Accounts
  • 401(k) plus match
  • Paid Time Off (PTO) and Holidays
  • Work From Home Time

Company Overview

The role of AVP, Associate General Counsel – Compliance Officer (AGC/CO) is to assist the Chief Legal Counsel/Chief Compliance Officer and other Associate General Counsel of Boyd Watterson Asset Management, LLC (“the company”) to provide effective legal and compliance guidance and support to a growing firm with multiple locations on various legal and compliance matters. This role will also assist General Counsel/CCO and other Associate General Counsel with implementing and maintaining an effective compliance program and providing legal guidance and support with respect to fixed income and real estate investment activities.

Major Duties and Responsibilities:

Compliance Officer responsibilities:

• • Undertake the steps in the firm’s compliance program – risk identification; and assist CCO and other compliance officers with establishing, updating and implementing policies and procedures that are sufficiently robust and reflect known industry standards and regulatory expectations.

• Assist with training to company management and staff regarding proper implementation of the compliance program.

• Participate on committees when requested.

• Review all new marketing materials for compliance with SEC rules and no-action letters.

• Assist on matters related to the firm’s Global Investments Performance Standards (GIPS®) compliance efforts, including interfacing regularly with the outside auditor, ACA Compliance Group.

• Assist on the annual review of the company’s compliance program.

• Responsible for primary legal review in connection with real estate-related and corporate DDQs and RFPs/RFQs.

• Responsible for tracking and responding to compliance matters for Cayman domiciled and other products offered internationally.

• Perform all other duties as assigned by CCO.

This position is not directly responsible to ensure compliance in non-SEC/ERISA internal/external audit areas such as GAAP accounting procedures, IRS filings, etc.

Education, Skills, Personal Characteristics and Work Experience Requirements:

• Juris Doctor (JD) Degree required
• Bar passage required
• 4-7 years’ experience required.
• Experience in handling SEC marketing rules and action letters required
• Experience in investment-related compliance matters preferred
• Finance/Industry/Regulatory experience preferred
• Excellent communication skills (verbal and written)
• Proficient in computer technology skills, including but not limited to, Microsoft Word, Microsoft Excel, Microsoft PowerPoint, and Adobe
• Strong legal research and analytic skills
• Highly motivated and self-directed
• Ability to work within a team and accomplish assigned tasks
• Proactively fulfill tasks and timely responds to requests
• Facilitate and participate in communication between departments
• Managing and prioritizing multiple complex and time-sensitive matters