Outside General Counsel & Compliance Counsel
Helping organizations build stronger compliance programs, reduce legal risk, and prevent problems before they become investigations or litigation.
Every organization faces legal and regulatory risk. Whether you operate a healthcare practice, childcare center, nonprofit organization, research institution, government contractor, or other regulated enterprise, proactive legal counsel helps identify compliance gaps, strengthen internal controls, and reduce legal exposure.
Steltzer Law Firm serves as outside general counsel and compliance counsel, helping organizations develop practical compliance programs, modernize policies and procedures, respond to regulatory inquiries, and prevent problems before they become investigations or litigation.
Why Proactive Compliance Matters
Most compliance failures do not begin with a lawsuit or government investigation. They often result from outdated policies, inconsistent procedures, inadequate training, or evolving legal requirements. Organizations that invest in proactive compliance are better positioned to reduce legal risk, respond to regulatory inquiries, and maintain the trust of employees, customers, funding agencies, and regulators.
Organizations We Serve
Every organization operates within a unique legal and regulatory environment. Steltzer Law Firm provides practical legal counsel to help organizations strengthen compliance programs, improve governance, conduct privileged internal investigations, and reduce legal risk through proactive compliance strategies tailored to each organization’s mission and operations.
Higher Education
- Public Universities
- Private Universities
- Colleges
- Academic Medical Centers
- Research Institutes
Healthcare Organizations
- Hospitals
- Healthcare Systems
- Medical Practices
- Behavioral Health Providers
- Licensed Childcare Centers
Research and Nonprofit Organizations
- Nonprofit Organizations
- Research Foundations
- Scientific Organizations
- Federally Funded Research Organizations
- Professional Associations
How We Help Organizations
Organizations operating in highly regulated environments face evolving legal obligations, increased regulatory scrutiny, and complex governance challenges. Steltzer Law Firm helps organizations strengthen compliance programs, conduct privileged internal investigations, respond to regulatory inquiries, and reduce legal risk.
Compliance Risk Assessments
Identify legal, regulatory, and operational risks before they develop into investigations, enforcement actions, or litigation.
Policies & Governance
Review, develop, and update policies, procedures, governance documents, and compliance frameworks designed to meet evolving legal and regulatory requirements.
Internal Investigations
Conduct or advise on privileged internal investigations involving research compliance, employee misconduct, ethics concerns, regulatory issues, whistleblower complaints, and organizational governance.
Outside Compliance Counsel
Why Organizations Retain Outside Compliance Counsel
Drawing on nearly two decades of experience advising regulated organizations, Jeffrey D. Steltzer established Steltzer Law Firm to offer outside compliance counsel to universities, healthcare organizations, research institutions, nonprofit organizations, and other regulated entities. The firm’s approach emphasizes practical legal guidance designed to strengthen compliance programs, improve governance, navigate regulatory challenges, and reduce legal risk before problems become investigations or litigation.
Independent Legal Perspective
Outside compliance counsel can provide an objective legal perspective on complex compliance, governance, and regulatory matters. Independent legal guidance helps leadership evaluate risk, assess options, and make informed decisions before issues escalate.
Specialized Regulatory Experience
Organizations occasionally encounter legal and regulatory issues that require specialized experience. Steltzer Law Firm provides practical guidance on research compliance, healthcare regulations, internal investigations, organizational governance, and other complex regulatory matters.
Flexible Legal Support
Every organizatoin has different legal needs. Some may not maintain in-house counsel, while others benefit from additional legal support for specialized compliance projects, policy development, investigations, or regulatory matters. Outside compliance counsel can provide legal services tailored to an organization’s size, structure, and objectives.
Proactive Risk Management
Many legal risks can be reduced through early planning and practical legal guidance. Proactive compliance helps organizations identify emerging issues, strengthen internal controls, and address problems before they become investigations, enforcement actions, or litigation.
Representative Areas of Experience
Jeffrey D. Steltzer’s experience includes advising regulated organizations on matters involving:
Research and Regulatory Experience
- Research Integrity
- Researh Misconduct
- Export Controls
- Research Security
- Federal Grant Compliance
- Conflict of Interest Compliance
Governance and Compliance Experience
- Internal Investigations
- Organizational Governance
- Policy and Procedure Development
- Compliance Risk Assessments
- Regulatory Training
- Advising Executive Leadership
Our Three-Phase Compliance Counsel Process
Every organization faces unique legal and operational risks. Steltzer Law Firm uses a structured three-phase approach to identify compliance gaps, modernize policies and procedures, and build sustainable compliance programs. Whether your organization needs a one-time assessment or ongoing legal counsel, our approach provides practical, business-focused solutions that reduce legal risk and strengthen organizational compliance.
Assess: Legal Compliance Gap Analysis & Risk Assessment
Every effective compliance program begins with identifying legal and operational risks before they become significant organizational problems. During Phase I, Steltzer Law Firm evaluates your organization’s compliance framework, identifies compliance gaps, assesses legal and operational risks, and prioritizes corrective actions based on your organization’s size, industry, and regulatory environment.
The result is a practical Legal Compliance Gap Analysis & Risk Assessment that identifies areas of legal exposure and provides a prioritized roadmap for strengthening your compliance program.
Typical Phase I Deliverables
Legal Compliance Gap Analysis – Identifies legal, regulatory, and operational compliance gaps.
Organizational Risk Assessment – Evaluates areas of greatest legal exposure and prioritizes corrective actions.
Policy & Procedure Review – Assesses existing policies for legal sufficiency, consistency, and practical implementation.
Compliance Action Plan – Provides a prioritized roadmap for strengthening the organization’s compliance program.
Practice Tip
The strongest compliance programs identify and address legal risks before they become employee complaints, regulatory investigations, audits, or litigation.
Phase II – Build: Policy & Procedure Modernization
Identifying compliance risks is only the first step. Phase II focuses on implementing practical, legally sound solutions that strengthen your organization’s compliance program and reduce future legal risk. Working closely with organizational leadership, Steltzer Law Firm helps modernize policies and procedures, improve governance, strengthen internal controls, and build compliance programs that support long-term organizational success.
Where appropriate, our recommendations are informed by nationally recognized compliance frameworks, including the Federal Sentencing Guidelines for Organizations and the Seven Elements of an Effective Compliance and Ethics Program. Rather than relying on generic templates, we develop practical solutions tailored to your organization’s size, industry, and regulatory environment.
Typical Phase II Deliverables
Policy & Procedure Development – Drafts and updates organizational policies, procedures, employee handbooks, and compliance documentation.
Compliance Program Modernization – Strengthens internal controls, reporting procedures, documentation practices, and governance processes.
Training & Education – Develops practical training materials to promote legal compliance and consistent organizational practices.
Implementation Roadmap – Provides a structured plan for implementing recommendations, assigning responsibilities, and monitoring progress
Practice Tip
Effective compliance programs require more than written policies. Policies must be communicated, implemented, consistently followed, and regularly reviewed as legal requirements and organizational risks evolve.
Phase III – Sustain: Outside General Counsel & Compliance Counsel
Effective compliance is an ongoing process. Laws, regulations, enforcement priorities, and organizational risks continue to evolve long after policies have been updated and improvements implemented. Phase III provides ongoing legal counsel to help organizations maintain effective compliance programs, navigate emerging legal and regulatory issues, and reduce legal risk before problems become investigations or litigation.
Outside general counsel and compliance counsel services provide organizations with ongoing access to practical legal guidance on governance, compliance, employment matters, internal investigations, policy interpretation, contract review, regulatory developments, and organizational risk management. Steltzer Law Firm helps organizational leaders make informed legal decisions before problems become costly disputes.
Typical Phase III Services
Ongoing Legal & Compliance Counsel – Practical legal guidance for day-to-day compliance and operational questions.
Policy & Procedure Updates – Periodic review and revision of policies to address changes in applicable laws, regulations, and organizational risks.
Internal Investigations & Sensitive Matters – Legal guidance regarding employee complaints, ethics concerns, compliance issues, and other internal investigations.
Leadership & Board Advising – Strategic legal advice for executives, boards, and organizational leadership on governance, risk management, and compliance issues.
Tailored Engagement Options
Every organization has different compliance needs. Whether you need a one-time compliance assessment, assistance implementing recommendations, or ongoing outside general counsel and compliance counsel services, Steltzer Law Firm offers flexible legal support tailored to your organization’s size, industry, regulatory environment, and objectives.
Practice Tip
Organizations that seek legal guidance early are often better positioned to reduce legal risk, respond effectively to regulatory changes, and avoid the expense and disruption of investigations, litigation, and enforcement actions.
The Foundation of an Effective Compliance Program
An effective compliance program helps organizations identify legal risk, prevent misconduct, respond appropriately when concerns arise, and demonstrate a commitment to ethical operations. While every organization’s needs are unique, effective compliance programs typically share several core elements. Steltzer Law Firm helps organizations evaluate and strengthen these foundational components while tailoring compliance programs to each organization’s size, mission, and regulatory environment.
This framework is informed by the U.S. Department of Justice’s Evaluation of Corporate Compliance Programs and the Federal Sentencing Guidelines for Organizations.
The Seven Elements Include:
Standards & Policies
Develop written standards of conduct, policies, and procedures that clearly communicate organizational expectations and promote compliance with applicable laws, regulations, and ethical responsibilities. Policies should be practical, regularly updated, and consistently implemented throughout the organization.
Oversight & Leadership
Assign responsibility for the compliance program to qualified leadership with sufficient authority, independence, and resources to oversee implementation, monitor effectiveness, and foster a culture of integrity and accountability throughout the organization.
Due Diligence
Exercise reasonable care when selecting, supervising, and retaining employees, managers, contractors, and other individuals whose actions may expose the organization to legal, regulatory, or ethical risk. Effective screening and oversight help reduce organizational liability.
Training & Communication
Provide regular education and practical training so employees understand organizational policies, reporting responsibilities, and their role in maintaining compliance. Training should be tailored to employee responsibilities and reinforced through ongoing communication.
Monitoring & Auditing
Regularly evaluate the effectiveness of the compliance program through monitoring, audits, risk assessments, and periodic reviews of organizational practices. Continuous evaluation helps identify emerging risks before they become significant legal or regulatory issues.
Reporting & Investigations
Maintain confidential reporting mechanisms that encourage employees to report concerns in good faith without fear of retaliation. Organizations should promptly investigate reported concerns, document findings, and implement appropriate corrective action.
Corrective Action
Respond promptly to identified compliance issues through corrective measures, policy improvements, additional training, and ongoing evaluation. Effective compliance programs evolve as organizational risks, legal requirements, and operational needs change.
Putting These Principles Into Practice
The seven elements above provide a practical framework for building and maintaining an effective compliance program. While every organization implements these elements differently, they help strengthen governance, promote ethical decision-making, reduce legal risk, and demonstrate a commitment to compliance. Steltzer Law Firm works with organizational leadership to evaluate existing programs and implement practical improvements tailored to each organization’s legal and operational environment.
Frequently Asked Questions
Organizations often have questions about developing, implementing, and maintaining effective compliance programs. The answers below address common questions about proactive legal compliance, internal investigations, policy development, ongoing compliance counsel, and reducing organizational risk.
What is outside general counsel and compliance counsel?
Many organizations need ongoing legal and compliance guidance but do not require a full-time General Counsel or Chief Compliance Officer. Outside compliance counsel provides practical legal guidance on governance, compliance, employment matters, internal investigations, policy development, regulatory developments, contract review, and organizational risk management. This proactive relationship helps organizations identify legal risks early, strengthen compliance programs, and address issues before they become investigations, litigation, or regulatory enforcement actions.
💡Practice Tip
Organizations often reduce legal costs and operational disruption by identifying and addressing compliance issues before they become formal investigations, regulatory actions, or litigation.
Does every organization need a formal compliance program?
The appropriate size and complexity of a compliance program depends on an organization’s size, industry, regulatory obligations, and operational risks. Even smaller organizations benefit from written policies, employee training, reporting procedures, and periodic legal review. An effective compliance program should be practical, scalable, and tailored to the organization’s legal, operational, and regulatory environment.
💡Practice Tip
Effective compliance programs should be tailored to an organization’s size, operations, and regulatory environment—not copied from another organization or downloaded from generic templates.
Can you review our employee handbook and policies?
Yes. Steltzer Law Firm reviews existing policies, procedures, employee handbooks, governance documents, and compliance manuals to evaluate legal sufficiency, consistency, and practical implementation. We also draft and update policies tailored to your organization’s operations, regulatory environment, and operational objectives, helping ensure that written policies can be implemented effectively—not simply filed away.
Practice Tip
Policies and employee handbooks should be reviewed periodically to reflect changes in applicable laws, regulations, organizational operations, and industry best practices.
How often should organizational policies be updated?
There is no single schedule that applies to every organization. Policies should be reviewed whenever significant legal or regulatory changes occur, operational practices change, or compliance assessments identify areas requiring improvement. Regular review helps ensure that written policies remain accurate, effective, and consistent with the organization’s actual practices.
💡Practice Tip
Outdated policies can create legal risk if they no longer reflect current laws, regulations, or an organization’s actual practices.
Can you conduct internal investigations?
Yes. Steltzer Law Firm provides legal guidance regarding internal investigations involving employee complaints, ethics concerns, regulatory issues, research compliance matters, workplace misconduct, conflicts of interest, and other sensitive organizational matters. Early legal involvement can help preserve evidence, maintain appropriate documentation, protect the integrity of the investigative process, and support informed organizational decision-making.
💡Practice Tip
The earliest stages of an internal investigation often have the greatest impact on how the matter develops. Prompt legal guidance can help preserve evidence, clarify responsibilities, and position the organization to respond appropriately from the outset.
Do you provide employee and management training?
Yes. Steltzer Law Firm develops practical compliance training tailored to an organization’s operations, legal obligations, and workforce. Training may address compliance policies, reporting responsibilities, ethics, internal investigations, research compliance, regulatory requirements, and other topics relevant to the organization’s industry and regulatory environment.
Practice Tip
Compliance training is most effective when it is practical, interactive, role-specific, and reinforced through ongoing education rather than treated as a one-time event.
What industries do you serve?
Steltzer Law Firm advises organizations operating in regulated industries, including universities, research institutions, healthcare providers, nonprofit organizations, licensed childcare providers, government contractors, and professional practices. While each industry faces unique legal and regulatory requirements, our approach is tailored to the organization’s operations, compliance obligations, and long-term objectives.
Practice Tip
Effective compliance programs should reflect an organization’s unique legal, operational, and regulatory risks rather than relying on a one-size-fits-all approach.
Do you offer one-time assessments or ongoing services?
Both. Some organizations engage Steltzer Law Firm for a one-time Legal Compliance Gap Analysis & Risk Assessment, policy review, internal investigation, or other discrete compliance project. Others choose an ongoing Outside Compliance Counsel relationship that provides continuing legal guidance as new issues arise. Every engagement is tailored to the organization’s needs, objectives, and regulatory environment.
Practice Tip
Many organizations begin with a one-time compliance assessment or policy review and later transition to an ongoing outside compliance counsel relationship as their legal and operational needs evolve.
How can an effective compliance program reduce legal risk?
While no compliance program can eliminate all legal risk, a well-designed program can help organizations identify potential issues earlier, strengthen internal controls, improve documentation, promote ethical decision-making, and demonstrate a commitment to legal and regulatory compliance. Proactive compliance efforts also improve an organization’s ability to respond effectively to employee complaints, government inquiries, audits, and regulatory investigations.
Practice Tip
The goal of an effective compliance program is not simply to respond to legal problems—it is to help identify, prevent, and address them before they become significant organizational risks.
Build Compliance Before Problems Become Litigation.
Organizations don’t need to wait for a government investigation, employee complaint, regulatory audit, or lawsuit to benefit from experienced legal counsel. Whether you need a comprehensive compliance assessment, assistance modernizing policies and procedures, or ongoing Outside General Counsel & Compliance Counsel services, Steltzer Law Firm provides practical legal guidance designed to strengthen compliance, reduce organizational risk, and support long-term success.
Every organization has unique legal and operational challenges. We work collaboratively with leadership to develop practical compliance solutions tailored to your organization’s size, industry, regulatory obligations, and business objectives.
Organizations confronting allegations of research misconduct often require immediate legal guidance regarding internal investigations, reporting obligations, and federal research regulations. Learn more about our Research Misconduct Defense practice for experienced representation during institutional and federally funded research investigations.
The information provided on this page is for general educational purposes only and should not be construed as legal advice. Every organization and compliance matter depends on its unique facts, applicable laws and regulations, industry requirements, and specific circumstances. Reading this website does not create an attorney-client relationship with Steltzer Law Firm. If your organization needs practical legal guidance regarding compliance, governance, internal investigations, or regulatory matters, please contact us to schedule a confidential consultation.