Job Description

Location: Denver Area (Golden), CO

Role: Compliance Senior Associate (5+ years of experience; final title aligned with experience)

Reporting to: Chief Operating Officer (Chris Schell)

About Channel Dynamics 

Channel Dynamics is a fast-growing, entrepreneurial primary research firm and an established leader in delivering differentiated and fully compliant insights to top institutional investors. Our compliance framework is the backbone of our product, the source of our credibility, and a core competitive advantage. As we scale, the strength and leadership of our compliance team will define how far and how fast we grow. This hire will play a central role in shaping that future and has a clear path to becoming the Head of Compliance. By safeguarding the integrity of our research and ensuring regulatory excellence, this role directly contributes to our mission of empowering institutional investors with trustworthy, actionable insights.

The Opportunity 

Compliance is foundational to everything we do, and MNPI protection is the most critical pillar of our research model. You will own the processes that protect the firm, our clients, and the integrity of our work. You will work directly with senior leadership while building and mentoring a growing team of compliance associates. This role blends strategic leadership with hands-on oversight in an environment where your work will be visible and influential, including opportunities to help shape tech-enabled and AI-driven tools that enhance compliance and risk management. 

(1) Lead MNPI Oversight and Research Integrity

• Build systems, training, and tools that enable analysts to produce high-quality research while protecting the firm
• Own the MNPI review and escalation process as the firm’s primary defense against improper information flow
• Review and approve all research before distribution, with a focus on MNPI assessment, research independence, and regulatory alignment
• Chaperone expert calls and client consultations, and manage real-time compliance risk
• Identify, assess, and resolve MNPI issues throughout the research pipeline
• Maintain deep expertise in insider trading laws, FINRA and SEC regulations, and research independence standards

(2) Build and Lead a High-Performing Compliance Team

• Manage and mentor compliance associates and support their professional development
• Establish clear workflows, expectations, and accountability standards
• Set the cultural tone for integrity, rigor, and ownership across the compliance function
• Play a central role in scaling the compliance department into a structured and well-resourced team

(3) Develop a Scalable Compliance Infrastructure

• Maintain and improve the firm’s Policy and Procedure Manual
• Oversee the Code of Ethics, supervision policies, privacy protocols, and data governance
• Lead development of the firm’s AI and data usage policies
• Conduct risk assessments for new products, initiatives, or sector expansions
• Serve as the primary point of contact for compliance questions, due diligence requests, and client inquiries

(4) Drive the Firm’s Legal and Commercial Strategy

• Draft, negotiate, and manage MSAs, Data Agreements, NDAs, and vendor contracts
• Build and oversee a comprehensive Contract Lifecycle Management framework
• Lead vendor risk management, including diligence, scoring, and renewals
• Manage relationships with outside counsel on specialized legal topics

Ideal Candidate Profile : We are seeking a motivated legal professional who wants to build and eventually lead a best-in-class compliance organization.

• Thrives in an entrepreneurial, high-accountability environment
• Demonstrates exceptional judgment and analytical rigor
• Communicates confidently with internal stakeholders and sophisticated client legal teams
• Cares deeply about research integrity and MNPI protection
• Is motivated by building systems and managing a growing compliance team

Qualifications

• Juris Doctor and active membership in good standing with a State Bar
• Greater than 5 years of experience in legal or compliance roles supporting securities, research, hedge funds, alternative asset managers, or regulators
• Deep expertise in MNPI frameworks, insider trading laws, and SEC and FINRA regulations
• Demonstrated ability to manage or mentor junior team members
• Exceptional communication skills and attention to detail

Preferred

• Experience with AI governance, data licensing, or privacy regulations
• Familiarity with expert networks, channel checks, or institutional research workflows
• Experience leading or helping build a compliance or legal function
• Strong experience drafting and negotiating contracts

Location : Our main offices are located in Golden, Colorado, just west of Denver.

Compensation : The expected salary range for this role is 100,000 to 150,000. Actual compensation will be determined based on experience, skills, and job-related qualifications. This role may also be eligible for a performance-based bonus.

• Medical, dental, and vision insurance
• 401(k) savings program with employer match
• Unlimited PTO policy
• Free Epic Pass and team ski days

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