Confidential
Associate General Counsel, Broker-Dealer Regulatory Compliance (San Francisco)
Confidential, San Francisco, California, United States, 94199
About the Company
Reputable financial services organization Industry Financial Services Type Privately Held Overview
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
Serve as the day-to-day legal advisor to business units on broker-dealer and investment advisory regulatory issues. Manage FINRA arbitrations and regulatory inquiries; develop policies in response to regulatory developments. Manage and mentor a team of attorneys; interface with compliance and risk departments to ensure adherence to securities regulations. Qualifications
Active bar license in NY or CA JD from an accredited law school Extensive knowledge of SEC, FINRA, and state securities regulations Demonstrated experience handling or responding to FINRA arbitrations or regulatory proceedings Additional Details
The role 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
Less than 10% Functions
Legal
#J-18808-Ljbffr
Reputable financial services organization Industry Financial Services Type Privately Held Overview
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
Serve as the day-to-day legal advisor to business units on broker-dealer and investment advisory regulatory issues. Manage FINRA arbitrations and regulatory inquiries; develop policies in response to regulatory developments. Manage and mentor a team of attorneys; interface with compliance and risk departments to ensure adherence to securities regulations. Qualifications
Active bar license in NY or CA JD from an accredited law school Extensive knowledge of SEC, FINRA, and state securities regulations Demonstrated experience handling or responding to FINRA arbitrations or regulatory proceedings Additional Details
The role 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
Less than 10% Functions
Legal
#J-18808-Ljbffr