15 days old

Senior Counsel, Regulatory Attorney

Advisor Group
Phoenix, AZ 85003
  • Job Code
    00923005284
Regulatory Legal Opportunity in Financial Services

Senior Counsel, Regulatory Attorney

Location: 20 E. Thomas Road Phoenix, AZ 85012

Summary:

We currently have an opening for an experienced regulatory and business attorney. This position will report directly to the Associate General Counsel and will be responsible for providing regulatory and business legal advice relating to broker-dealers and dual registrants. Individuals serving in this position will work closely with senior management on business initiatives and provide legal support on regulatory matters and examinations.

The preferred location for this candidate is our Phoenix, Arizona headquarters but we are also willing to consider candidates who could work out of our Atlanta, Minneapolis, New Jersey, Omaha or Tampa office locations.

Responsibilities:

  • Advise on securities laws, most particularly relating to broker-dealers;
  • Familiarity with Reg BI and FINRA Rules and their applications to broker-dealers;
  • Draft and review responses to regulatory examinations;
  • Legal review of disclosure documents, sales and marketing materials;
  • Draft and/or review supervisory procedures and compliance policies and procedures;
  • The attorney serving in this position will be part of a fast-paced, dynamic work-environment, requiring strong legal and analytical skills; a creative approach to problem solving; a demonstrated ability to multi-task and to work successfully on time-sensitive matters; the ability to work as part of a team collaborating with other counsel and business or compliance personnel;
  • All other duties as assigned.

Education Requirements:

  • JD degree is required.
  • Must be a member in good standing with the State Bar of Arizona, or another jurisdiction and be eligible to register as in-house counsel in another jurisdiction.

Basic Requirements:

  • At least ten (10) years of meaningful, "hands-on" experience at a major law firm, an in-house legal department, or a regulatory body, working for or interacting with regulators at the SEC, FINRA or other similar agencies.
  • Familiarity with broker-dealers and registered investment advisers and the laws and rules that applies to these entities is a requirement.

Preferred Requirements:

  • Experience such as with mergers and acquisitions or familiarity with ERISA is not required but is desirable






Posted: 2020-10-05 Expires: 2020-11-03
Sponsored by:
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Sponsored by:
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Senior Counsel, Regulatory Attorney

Advisor Group
Phoenix, AZ 85003

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