Senior Legal & Compliance Specialist

Company Summary

Cabrera Capital Markets is a premier investment bank and institutional brokerage firm, serving global corporations, municipalities, pension funds, and private equity firms. The firm is known for its integrity and unwavering commitment to exceeding clients’ expectations.

Position Summary & Purpose

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.

Essential Duties and Responsibilities

Contracts & Transactions

• 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.

Corporate Governance & Entity Management

• 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.

Compliance & Regulatory Support

• 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.

Legal Technology & Operations

• 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.
• All other duties as assigned.

Management & Decision Making Responsibilities

• 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.