Regulatory Compliance Attorney

POSITION SUMMARY

We seek a highly skilled Financial Trading Industry Regulatory Compliance Attorney to oversee regulatory compliance and ensure that Nurp and Orca Capital operate within the bounds of applicable laws and industry standards in the US. This represents two distinct roles held concurrently for two separate organizations. This critical role will involve developing and enforcing compliance protocols, reviewing marketing and client communication materials, and providing legal guidance and representation on regulatory matters. The ideal candidate will possess expertise in financial trading laws, particularly within CFTC, NFA, FTC and SEC frameworks, and have experience in fast-paced, technology-driven environments. We seek candidates with a strong track record of experience specifically in the Asset managment and financial technology Industries.

The position offers a competitive annual salary ranging from $150,000 to $175,000, plus performance-based incentives.

ABOUT THE COMPANY

Nurp pioneers the convergence of modern and future investing through emerging technologies. Our advanced algorithmic trading programs and comprehensive forex trading systems challenge traditional investment models, propelling algorithmic investing for unparalleled success.

At Nurp, we're committed to fostering a culture of transparency, honesty, and openness. Joining Nurp means more than just a job—it's an invitation to embark on a journey of growth, discovery, and limitless potential. Here, you'll have the opportunity to collaborate with diverse and talented individuals, contribute to meaningful projects, and make a real impact on the future of algorithmic investing. This ethos of inclusivity and collaboration extends to wearing multiple hats and contributing to various important tasks beyond those listed here. It's a reflection of our belief in multidimensional growth and our dedication to supporting the overall development of our organization.

RESPONSIBILITIES

Nurp

• Develop and implement robust compliance policies and procedures tailored to algorithmic trading, marketing, sales operations, and hedge funds.
• Review and approve all marketing and communication materials to ensure compliance with relevant regulations and industry standards.
• Monitor compliance across internal departments and external interactions, including client communications, social media, and vendor relationships.
• Conduct risk assessments, identify compliance gaps, and implement corrective actions.
• Provide legal advice on regulatory matters, ensuring alignment with CFTC, NFA, FTC and consumer protection laws.
• Stay current with changes in regulatory requirements and adjust company policies accordingly.
• Maintain accurate documentation of compliance reviews and prepare detailed reports for leadership and audits.
• Lead compliance training sessions to educate employees on regulatory standards and company policies.
• Collaborate with cross-functional teams to integrate compliance into operational workflows.
• Act as the primary liaison for clients with legal inquiries or concerns, delivering prompt and professional communication to address their needs.
• Collaborate with external counsel to efficiently address and resolve legal matters, ensuring effective outcomes..

Orca Capital

• Develop specialized regulatory compliance policies and procedures tailored to meet the unique needs of Orca Capital.
• Manage and ensure compliance with company filings, ensuring accuracy and adherence to regulatory requirements..
• Ensure timely and accurate filing of state and federal taxes for all related entities to Orca Capital, overseeing compliance with tax regulations and obligations.
• Conduct thorough reviews of all marketing materials to ensure alignment with laws and regulations.
• Oversee and ensure compliance in external party interactions.
• Review suitability assessments to guarantee clients are well-informed about risks associated with investing.
• Ensure equitable treatment of clients, including comprehensive disclosure of fees and conflicts of interest.
• Stay abreast of evolving regulations and industry trends to ensure the fund's continuous compliance.
• Maintain precise records of compliance reviews and generate detailed compliance reports for internal

KEY COMPETENCIES

• Knowledge of commodity futures, options trading, and Consumer Protection regulations, laws, and guidelines
• Knowledge and understanding of compliance, regulations, relevant law, and industry guidelines pertaining to CFTC, NFA, FTC and SEC.
• In-depth knowledge of designing compliance policies and procedures for marketing compliance and client interactions.
• The ability to meticulously review and analyze marketing materials, client communications, and documentation to identify compliance risks and ensure accuracy.
• Strong analytical skills to assess complex information, identify patterns, and make informed decisions in alignment with compliance requirements.
• The ability to stay up-to-date with evolving regulations and adapt compliance practices accordingly to maintain compliance in a rapidly changing financial landscape.
• Skill in identifying legal and regulatory risks, evaluating their potential impact, and developing mitigation strategies.
• Ability to provide strategic legal advice to internal stakeholders, including leadership teams, on regulatory matters and compliance requirements.
• Commitment to maintaining high ethical standards and acting as a steward of the organization’s integrity in all regulatory matters.
• Ability to handle regulatory issues, investigations, or disputes promptly and effectively, minimizing reputational and operational impact.

EDUCATION AND EXPERIENCE

• Juris Doctor (JD) degree with active admission to practice law in the U.S.
• Minimum of 5 years of experience in regulatory compliance, preferably in financial services, trading, or fintech industries.
• Strong knowledge of CFTC, NFA, FTC, SEC, and consumer protection regulations.
• Proven expertise in reviewing marketing materials and ensuring compliance with regulatory standards.
• Excellent analytical, problem-solving, and decision-making skills.
• Exceptional communication and interpersonal skills to guide and collaborate with internal and external stakeholders.
• Familiarity with compliance software tools is a plus.

BENEFITS

• 100% Remote work.
• Performance bonus incentives with deliverables.
• Paid time off
• Health insurance.
• Dental insurance.
• Vision Insurance.
• Voluntary Life Insurance.
• Accidental Insurance
• Hospital Insurance
• Critical Illness Insurance
• Opportunities for professional development and training.
• Employee discounts on products.

COMMITMENT TO DIVERSITY

Nurp is an equal-opportunity employer committed to fostering an inclusive and diverse workforce. We encourage applicants from all backgrounds to apply, regardless of race, color, religion, age, national origin, gender, gender identity, sexual orientation, or disability.