Chief Compliance Officer/General Counsel

E.A. Buck is a fast-growing financial services company with dual headquarters in Denver and Honolulu. We’re seeking an Chief Compliance Officer & General Counsel to join our team. This position plays a key role in ensuring the firm operates with the highest standards of legal integrity, regulatory compliance and risk management while supporting the company’s strategic growth and operational objectives.

This is a full-time, in-office position based in our Denver Tech Center (DTC) office.

NOTE: Only people who are currently living in Denver will be considered for this role.

Salary / Benefits Package:

• Base salary range: $200,000 – $300,000, based on experience
• 100% employer-paid health, dental, and vision insurance
• Paid time off (PTO) and company holidays
• 401(k) plan with generous employer match
• Professional development and continuing education opportunities

Duties and Responsibilities

• Serve as a member of the executive leadership team, advising on company strategy, governance, risk management, and regulatory matters.
• Provide strategic legal counsel to senior leadership on corporate governance, regulatory compliance, business initiatives, and enterprise risk.
• Oversee all legal affairs of the organization, including contracts, litigation, employment matters, intellectual property, and corporate transactions.
• Draft, review, and negotiate a broad range of agreements, including client, vendor, employment, and merger & acquisition contracts.
• Manage legal risk and regulatory exposure, including oversight of litigation, arbitration, regulatory inquiries, and enforcement matters.
• Lead and maintain the firm’s compliance program to ensure adherence to SEC, FINRA, and applicable state regulatory requirements.
• Oversee the development, implementation, and maintenance of the firm’s Code of Ethics and Compliance Policies & Procedures.
• Ensure timely and accurate regulatory filings and reporting requirements, including Form ADV and other applicable SEC filings.
• Lead regulatory examinations and interactions with regulators, including preparation for SEC or FINRA audits and responses to regulatory inquiries.
• Collaborate cross-functionally with investment, operations, finance, marketing, and HR teams to identify and address legal and compliance risks.
• Provide compliance training and guidance to advisors and employees to ensure understanding of regulatory obligations and company policies.
• Manage and coordinate external legal counsel and compliance resources to ensure high-quality, cost-effective legal support.

Job Requirements:

• Bachelor’s degree and Juris Doctor degree required
• Minimum 8 years of compliance, risk management or related field
• Certified Securities Compliance Professional (CSCP), Certified Investment Company Compliance Professional (CICCP) preferred
• General Counsel must be a licensed attorney in at least one U.S. State or jurisdiction and in good standing with the state bard association with no disciplinary actions against them.
• Job offer is contingent upon successful completion of a background investigation, inclusive of fingerprinting and reference checks