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Carrot Peelers, Sales, Personality and Your Job Search
In-House
Attorney
Corporate - General
Min 2 yrs required
Enforcement Counsel and Regulatory Attorney The candidate will perform a variety of specific duties generally including applying advanced analytical skills to participate in providing legal interpretations regarding Federal securities laws as well as exchange (PHLX, BX, NFX, ISE, etc.) rules, and regulations; in drafting and reviewing legal documents; and in settlements. Handle investigations from initiation through recommendation of a disposition or determine the appropriateness of a referral to another regulatory authority. Plan for and participate in various tasks related to investigations pertaining to trading violations by member firms and associated persons including the gathering of documentation evidence and the analysis thereof. Research and interpret rules, regulations, statutes, and decisions of regulatory and quasi-judicial bodies. Advise the organization regarding laws, rules, and regulations. Examine and analyze data to recommend advisability of pursuing corrective, remedial, or legal actions. Gather and analyze evidence to formulate cases or to initiate disciplinary action. Draft memoranda summarizing investigative results and recommending whether to take further action. Prepare Letters of Caution and closing memoranda where formal disciplinary action is not recommended. Coordinate responses to regulatory requests and reviews by Internal Audit. Draft a variety of legal documents. Review and approve regulatory memorandums prepared by third party regulatory service providers utilized by company. Lead regulatory, surveillance and compliance projects for a variety of situations and projects applicable to regulatory issues. Should have a Law degree and admission to the Bar. Must have 2+ years of relevant legal experience in a regulatory or legal environment. Advanced litigation skills are needed.
Job ID: 2017-9101
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