Director, Legal and Compliance

Obermeyer Wealth Partners is seeking a full time Director of Legal and Compliance to provide in house legal guidance across all areas of the business and oversee the firm’s regulatory compliance program. This leader will play a critical role in safeguarding the firm’s integrity, supporting fiduciary excellence, and ensuring Obermeyer meets the highest standards of legal, regulatory, and operational oversight.

In addition to directing the firm’s compliance program, this individual will help strengthen Obermeyer’s ability to support clients with estate planning considerations and the firm’s trustee capabilities. The role includes reviewing relevant legal documents, partnering with advisors to interpret estate structures, working with outside attorneys to ensure clients receive coordinated, high quality guidance.

Obermeyer Wealth Partners is a registered investment advisor (RIA) managing $3 billion in assets. We provide a range of wealth management services tailored to meet the unique needs of individuals, families, and select family offices.

At Obermeyer, our mission is to thoughtfully steward client assets while serving as trusted partners in navigating life’s complex financial decisions. As one of Colorado’s boutique independent advisory firms, our team has been recognized by Barron’s and Forbes for serving clients across the United States. We currently operate out of offices in Aspen, Denver, Steamboat Springs, and Vail, Colorado.

Please send your resume and cover letter in PDF format to oppo Be sure to include your name in each document title.

• Serve as in-house legal counsel, providing guidance on corporate matters, vendor agreements, disclosures, client agreements, employment considerations, and risk mitigation.
• Draft, review, and negotiate contracts, NDAs, vendor agreements, and technology platform agreements.
• Lead the firm’s internal approach to trust and estate advisory support, including:
• Reviewing estate planning documents (wills, trusts, powers of attorney, etc.) as appropriate.
• Interpreting legal structures to support advisors in developing client-tailored strategies.
• Coordinating with external estate planning attorneys or providers to ensure clients receive informed, cohesive guidance.
• Serve as the primary point of contact for external legal counsel, overseeing scope, budgeting, and quality of work.

• Lead, develop, and enhance the firm’s compliance program to ensure full adherence to SEC regulations, fiduciary standards, and industry best practices.
• Oversee annual compliance reviews, risk assessments, policy updates, testing protocols, and regulatory filings; liaise with outside SEC counsel.
• Manage the firm’s compliance calendar and ensure timely completion of all regulatory deliverables. Proactively monitor regulatory and legislative changes and implement required updates.
• Oversee firm’s cybersecurity program, employee compliance training, certifications, Code of Ethics reviews, and attestation processes.
• Respond to and manage any regulatory inquiries, examinations, or audits.

• Partner with advisors, operations, and leadership to cultivate a culture of compliance, legal awareness, and estate planning fluency.
• Clearly communicate complex regulatory, legal, and estate planning concepts to internal stakeholders.
• Maintain strong follow through with team members, clients, and external partners.
• Develop a legal and compliance education and advocacy program that advances our firm’s and clients’ goals.

• Juris Doctor (JD) desired; active bar membership in good standing.
• Seven or more years of relevant experience in financial services, wealth management, investment advisory, estate planning, or a related field.
• Deep knowledge of SEC regulations applicable to RIAs, including compliance testing, filings, marketing rules, custody rules, and fiduciary obligations.
• Experience building or overseeing compliance programs within a financial advisory or investment management organization.
• Familiarity with trust and estate planning concepts and common estate structures preferred.
• Strong communication, leadership, and relationship building skills, with the ability to influence and collaborate across teams.
• Proven ability to manage complex projects, competing priorities, and confidential information.
• Working knowledge of Microsoft Office, compliance monitoring systems, and custodial platforms (Schwab, Fidelity, or similar).

• Salary + Bonus + Retirement Contribution: $200,000 - $275,000 per year
• 100% employee premium healthcare coverage
• Continued learning reimbursement
• Vacation and remote work policy

Please reach out to oppo with any questions.

Note:

In compliance with industry standards, candidates will be subject to a background, criminal, and credit check before hiring.