Job Summary:

Plan, direct, or coordinate activities of Noble 33 to ensure compliance with Federal and State ethical or regulatory standards.

Duties and Responsibilities:

• Will perform or coordinate numerous corporate law, regulatory and litigation activities, all under supervision of the Chief Legal Officer.

• Including: assist CLO with preparation and organization of corporate minutes, other documentation of corporate action and share register. 

• Monitor on-going litigation and provide assistance toretain outside counsel. \

• Assist in responding to third party subpoenas. 

• Provide administrative support to CLO. 

• Drafting correspondence, policies and procedures, and research memoranda.

• Review and assist with payment processing of invoices from legal vendors. 

• Handle special projects, as assigned. 

• Respond to outside counsel requests for company assistance in connection with any representation. 

• Perform other duties as assigned to assist CLO in management of company's legal affairs.

• Report violations of compliance or regulatory standards to CLO 

• File appropriate compliance reports with regulatory agencies.

• Maintain documentation of compliance activities, such as complaints received or investigation outcomes.

• Consult with CLO as necessary to address difficult legal compliance issues.

• Verify that all regulatory policies and procedures have been documented, implemented, and communicated.

• Develop risk management strategies based on assessment of product, compliance, or operational risks.

• Disseminate written policies and procedures related to compliance activities.

• California and New York City compliance experience preferred

• Conduct periodic internal reviews or audits to ensure that compliance procedures are followed.

• Provide assistance to internal or external auditors in compliance reviews.

• Must be require a strong understanding of investor tracking technology, streamlining applications and ongoing maintenance of such systems.

• Collaborate with human resources departments to ensure the implementation of consistent disciplinary action strategies in cases of compliance standard violations.

• Oversee internal reporting systems, such as corporate compliance hotlines.

• Verify that software technology is in place to adequately provide oversight and monitoring in all required areas.

Technology Skills

• Expertise in Tax software, Microsoft Suite, HRIS Systems, Adobe Systems, DocuSign, Adobe Acrobat

• Law and Government - Knowledge of laws, legal codes, court procedures, precedents, government regulations, executive orders, agency rules, and the democratic political process.

• English Language - Knowledge of the structure and content of the English language including the meaning and spelling of words, rules of composition, and grammar.

• Administration and Management - Knowledge of business and management principles involved in strategic planning, resource allocation, human resources modeling, leadership technique, production methods, and coordination of people and resources.

• Clerical - Knowledge of administrative and clerical procedures and systems such as word processing, managing files and records, stenography and transcription, designing forms, and other office procedures and terminology

Benefits: 

• Hybrid/remote schedule, but preferably DFW locale for likely transition to Coporate office;

• Medical/healthcare insurance, dental, vision;

• Employee dining discount;

• Paid time off;

• Opportunity for advancement.