Associate General Counsel, Broker-Dealer Regulatory Compliance
About the Company
Reputable financial services organization
Industry
Financial Services
Type
Privately Held
About the Role
The Company is in search of an Associate General Counsel with a focus on Broker-Dealer Regulatory Compliance to join its corporate legal department. The successful candidate will be a key advisor to the business units, providing guidance on a wide range of broker-dealer and investment advisory compliance issues. This role is pivotal in ensuring regulatory compliance and risk mitigation, and the ideal candidate will have a strong background in this area, with at least 5 years of industry experience. Responsibilities include serving as the day-to-day legal advisor, managing FINRA arbitrations and regulatory inquiries, and developing policies in response to regulatory developments. The role also involves managing and mentoring a team of attorneys and interfacing with compliance and risk departments to ensure adherence to securities regulations. Applicants for this position at the company should have an active bar license in NY or CA, a JD from an accredited law school, and extensive knowledge of SEC, FINRA, and state securities regulations. The role requires a candidate with demonstrated experience in handling or responding to FINRA arbitrations or regulatory proceedings. The company values a collaborative, business-minded legal team and offers a supportive, non-law firm culture. The position is 100% remote, with a focus on work-life balance, and is suited for a lifestyle attorney who is adept at managing their time and workload effectively.
Travel Percent
Less than 10%
Functions
...leader in Contract Delivery Service for the United States Postal Service, with offices in 20 states, is currently seeking applicants to deliver mail on a CDS mail routes solicited and posted by the USPS in the Lewisburg, West Virginia area. Applicants must be at...
...Position: Entry-Level Remote Data Analyst Job Type: Part-Time/Full-Time Salary: $45,000 - $60,000 annually (USD) About the Role: Kickstart your career as a Remote Data Analyst! Were seeking enthusiastic and motivated individuals eager to dive into data-driven...
...Desktop support Engineer Location Madison, WI Long Term Location Options On-site day1. Job Summary: We are seeking a skilled and customer-focused End User Support Level 2 Technician to provide advanced technical support to users within the organization...
...Job Description Job Description We are seeking a highly skilled and motivated Strength and Conditioning Coach to join Unleashed Performance Training. The ideal candidate will design and implement personalized strength and conditioning programs for clients ranging from...
...growing manufacturer in the clean energy sector seeking a dynamic Marketing & Communications Specialist to drive visibility, engagement,... ...partnerships and represent the brand across solar and local networksManage B2B marketing initiatives, campaigns, digital content, and...