Senior Legal & Compliance Specialist

Cabrera Capital•Chicago, IL

1d•$120,000 - $14,000•Onsite

About The Position

The Senior Legal & Compliance Specialist is a hands-on role responsible for supporting the firm's legal and compliance functions through contract drafting and review, corporate governance administration, regulatory support, and legal operations management. This position works closely with the General Counsel, Chief Compliance Officer, and business teams across trading, investment banking, finance, operations, and affiliated entities. The role requires strong legal drafting skills, attention to detail, sound judgment, and the ability to manage multiple priorities in a highly regulated environment.

Requirements

Advanced legal drafting, contract review, and document management skills.
Strong analytical, organizational, and problem-solving abilities.
Excellent written and verbal communication skills.
Ability to work independently with minimal supervision.
Strong attention to detail and commitment to accuracy.
Proficiency with Microsoft Office 365, including Word, Excel, Outlook, and SharePoint.
Experience learning and using legal operations and document management platforms.
Ability to handle confidential and sensitive information with professionalism and discretion.
Bachelor's degree required.
Minimum of 10 years of substantive legal experience in an in-house legal department, law firm, or similar environment.
Significant experience drafting, reviewing, and negotiating contracts.
Experience supporting corporate governance, entity management, and regulatory compliance functions.
Applicants must be currently authorized to work in the United States on a permanent basis.
This position does not offer employment visa sponsorship now or in the future.
Candidates requiring sponsorship, including F-1 OPT, CPT, H-1B, TN, E-3, or any other employment-based visa sponsorship, are not eligible for consideration.

Nice To Haves

Paralegal certificate, degree in Legal Studies, or Juris Doctor (JD) degree welcomed but not required.
Active bar membership is not required.
Knowledge of FINRA, SEC, MSRB, and related regulatory frameworks preferred.
Willingness to obtain FINRA licenses, including Series 7, Series 63, and/or Series 14, if required by the firm, is preferred.

Responsibilities

Draft, review, negotiate, and manage a broad range of commercial and transactional agreements, including vendor agreements, software/SaaS agreements, consulting agreements, leases, operating agreements, development agreements, service-level agreements, and intercompany agreements.
Review third-party contracts, identify material legal and commercial risks, and communicate recommendations to the general counsel.
Coordinate execution, finalization, and filing of legal documents.
Maintain contract templates and manage a centralized contract repository, including tracking renewal and termination deadlines.
Support corporate finance, investment banking, municipal underwriting, M&A advisory, real estate, and development-related legal matters.
Support legal needs of affiliate entities and businesses.
Maintain corporate governance records, minute books, resolutions, consents, and organizational charts.
Manage domestic and international entity records and documentation.
Track business registrations, licenses, and renewal requirements.
Assist with government, regulatory, and corporate filings.
Support the firm's compliance program under FINRA, SEC, MSRB, and applicable state regulations.
Draft and update written supervisory procedures, compliance manuals, and policies.
Assist with regulatory examinations, audits, inquiries, and deficiency responses.
Monitor regulatory developments and support implementation of compliance updates.
Utilize legal technology platforms, contract management systems, e-signature tools, entity management software, and Microsoft 365 applications.
Develop and maintain workflows, templates, trackers, and checklists to improve operational efficiency.
Assist with implementation, testing, and maintenance of legal and compliance technology solutions.
Exercise independent judgment when identifying legal and compliance risks and escalating matters to the General Counsel or Chief Compliance Officer.
Prioritize and manage multiple legal and compliance projects simultaneously.
Maintain confidentiality and discretion when handling sensitive information.
Recommend process improvements, workflow efficiencies, and documentation standards.
Collaborate with internal stakeholders while ensuring adherence to legal and regulatory requirements.
All other duties as assigned.