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About The Position

Callan is seeking a new team member to join our Legal & Compliance team. As a senior vice president on the Legal and Compliance team at Callan, a leading independent investment consulting firm, you will have an opportunity to support some of the largest, most sophisticated institutional investors in the U.S., including pension and defined contribution plans, endowments, foundations, insurance companies, and healthcare organizations. In this position, you will play a critical role in providing strategic legal advice in support of Callan’s general business objectives, act as lead legal and compliance resource for Callan’s Trust Advisory Group (TAG), and contribute to the ongoing development and maintenance of Callan’s regulatory compliance program.

Our goal is to identify a strong candidate who can provide accurate, practical, and timely guidance on legal and compliance matters impacting registered investment advisers. You will have a track record of solving complex problems while building positive relationships and successfully collaborating with colleagues, clients, and outside counsel. You will be able to work independently and as a member of a team. Callan’s legal and compliance group is small, and the right candidate will enjoy rolling up their sleeves to do mundane day-to-day work as well as strategizing on legal and compliance matters.

Please note: This position is a future opportunity with an approximate start date in the fall 2025. This position will be based in one of the above-mentioned Callan office locations, working a hybrid (office/home) schedule with a minimum of two to three (2-3) days a week in the office. This position reports to Callan’s general counsel and chief compliance officer (CCO).

What’s Unique About This Role?

Callan believes our organization and culture are made stronger through a broad array of perspectives and experiences. Collaborating with various teams throughout the company, you will work with some of the highest quality and most complex clients in the country to help them achieve their investment goals. Along with having an appreciation for Callan’s unique and collaborative culture, your ability to demonstrate success in the skill sets we seek is of greater importance than your years of experience.

Primary Duties:

General Legal

• Prepare, review, and negotiate NDAs, client, and vendor agreements
• Support completion of RFP requests and ongoing legal and compliance RFP response reviews
• Assist with litigation matters and third-party subpoenas
• Partner with HR/Finance on employment law/independent contractor and insurance issues
• Provide counsel on corporate, M&A, stock issuance, and board and shareholder issues
• Provide guidance to Callan teams on a variety of legal and compliance issues
• Assist with emerging issues such as cyber matters, AI use, record retention strategies, etc

TAG Legal

• Draft and negotiate discretionary/OCIO client contracts
• Review and negotiate investment management agreements with subadvisors and managers
• Manage and update standard forms of client, subadvisor, and manager agreements to ensure compliance with law and best practices
• Review and comment on commingled fund offering documents and applications
• Partner with TAG stakeholders to develop and manage a compliance program for discretionary services
• Review marketing documents for compliance with advertising rules

Compliance

• Support Callan annual ADV amendment process, annual compliance testing, and updates to compliance policies and procedures
• Perform ongoing monitoring and approval of personal trading, communications, and other Code of Ethics policies and procedures
• Work with CCO to monitor and address regulatory and industry changes
• Develop and provide compliance training for Callan employees
• Assist CCO with regulatory examinations, risk assessments and all compliance-related issues

Job Skills & Requirements:

Skills:

• Substantive knowledge of corporate law, contract law, and SEC rules and regulations
• Excellent organizational, planning/project management, and analytical with strong attention to detail and ability to multi-task and prioritize
• Strong presentation, verbal, and written communication skills
• Skills and interest in both strategizing on legal/compliance and performing the day-to-day tasks

Characteristics:

• Responsive, approachable, and solution-oriented team player able to provide practical and actionable advice
• Proven track record of growth mindset with a willingness to learn, develop expertise, and adapt as needed
• Possesses unwavering commitment to act ethically and has high levels of discretion, sensitivity, and ability to maintain confidentiality

Education and Experience:

• Bachelor’s degree required. An advanced degree (JD or master’s degree) or training preferred
• 5-7+ years relevant experience with an asset management firm, investment consulting firm, or law firm providing high-level support to these types of organizations
• Experience in managing complex corporate, commercial, and regulatory matters, preferably in the investment consulting industry and/or with a registered investment adviser
• Experience in corporate governance, risk management, and compliance
• Qualifications may warrant placement in a different job title

Compensation, Benefits & Training

At Callan, you can expect:

• A generous compensation and benefits package, including base salary, bonus eligibility, 401(k) matching, profit-sharing, health/medical/dental/vision benefits, monthly communications stipend, tuition assistance, and more
• Training for all Callan databases, research, and other systems
• Access to team-building events, community outreach opportunities, and wellness events

As an employee-owned firm, Callan is committed to giving long-term successful professionals an opportunity to become equity partners. Visit www.callan.com/careers to learn more about Callan’s culture, benefits, and more.

About Callan

Callan was founded as an employee-owned investment consulting firm in 1973. Ever since, we have empowered institutional clients with creative, customized investment solutions backed by proprietary research, exclusive data, and ongoing education. Today, Callan provides advisory services to institutional investor clients with more than $3 trillion in total assets, which makes it among the largest independently owned investment consulting firms in the U.S. Callan uses a client-focused consulting model to serve pension and defined contribution plan sponsors, endowments, foundations, independent investment advisers, investment managers, and other asset owners.

Callan has roughly 200 employees and is headquartered in San Francisco with five additional offices throughout the U.S. Learn more about us at www.callan.com.

Callan is an equal-opportunity employer. Applicants must be authorized to work for any employer in the U.S. We are unable to sponsor or take over sponsorship of an employment visa at this time.

_Research shows that some candidates tend to apply only if they meet 100% of the criteria. We are committed to leveling the playing field, and we encourage everyone to apply for positions even if they do not necessarily check every box outlined in the job description. Callan believes that our organization and culture are made stronger through a broad array of perspectives and experiences.

_ The range listed represents what we reasonably expect to pay for this role at the time of this posting. Depending on the qualifications and level of work experience of the ideal candidate, we may ultimately pay more or less than the posted range and may be modified in the future.