Description:

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:
Boyd Watterson Asset Management, LLC is an independent investment advisor specializing in real estate, fixed income, and equity products. We provide investment solutions to a broad range of institutional clients and to high-net-worth clients, mainly through intermediaries.

Our investment strategies focus on stable income with a moderate risk profile. The real estate products are mainly delivered through private funds that primarily own and operate commercial buildings under lease to agencies of the US government, and state and local governments. Our fixed income and equity products are delivered through separately managed accounts, mutual funds, and intermediaries.

Requirements:
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.

Major Duties and Responsibilities:

Assist Chief Legal Officer and work with other legal and compliance team members on legal matters impacting the company or the industry, including keeping abreast of legislative changes that may affect the company and its affiliates.
Provide legal advice and guidance to and assist human resources with matters concerning hiring and firing, work authorization and other employment practices.
Assist with the company's insurance requirements and renewals.
Assist in real estate legal matters, including, without limitation, assisting with the review, drafting and maintenance of documents, including investor subscription documents and side letters; responding to legal questions arising from real estate line of business; coordinating with outside counsel on various matters; assisting with updating legal filings; and assisting with quarterly tasks and monitoring investment guidelines.
Review and draft contracts with clients, vendors, consultants and other business partners.
Research legal issues impacting the company and develop solutions to complex legal questions.
Provide timely assistance to General Counsel on other company legal matters.
Perform all other duties assigned by Senior Counsel.

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.
Assist with administration of company compliance reporting (MCO) system.
Assistance with DDQs and RFPs/RFQs with respect to compliance matters.
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
3-5 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