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Carrot Peelers, Sales, Personality and Your Job Search
In-House
Attorney
Corporate
Litigation - Whistleblower - CFTC
8-10 yrs required
Deputy General Counsel Duties: Support the work of Association and its members in the area s of corporation finance , and broker - dealer / investment adviser regulation and enforcement. Serve as lead lawyer in supporting the work of 2-3 at committees working in the areas of broker - dealer regulation, investment adviser regulation, or corporation finance. Support the work of the Board of Directors, through drafting of documents for Board meetings, drafting Board minutes, serving as a liaison between the Board and various committees. Provide subject matter expertise to the development of the Association 63/6 5/ 66 exams. Conduct legal research and d rafting legal memoranda . Prepare or assist in the preparation of comment letters in response to SEC, FINRA and MSRB rule proposals , as well as legislative proposals. Draft , assist or supervise in the preparation of amicus briefs involving complex issues of state and federal securities laws . Assist in the analysis of proposed state and federal legislation. Respond to inquiries from the Association’s members and from the public involving state and federal securities laws. Support activities of representative in connection with at least one external working group or inter - regulatory Committee where association has a representative . Review vendor contracts (ranging from hotel contracts to service providers such as Westlaw) and supervise lower - level review of vendor contracts. Providing advice on corporate governance matters to conducting legal and regulatory analysis in the securities field.
Qualification and Experience
Qualifications: JD degree from an accredited U.S. law school. Admission to a U.S. state Bar (DC preferred; eligibility to waive into DC preferred ). 8-10 years' professional experience as an attorney with specialized experience and demonstrated subject matter expertise in U.S. securities regulation preferred. A strong interest in investor protection and securities regulation. Strong legal researc h, analysis, and writing skills. Positive attitude and an ability to work as a team member . Strong technical and interpersonal management skills and ability to motivate. Attention to detail and adaptability to varied work assignments. Should have strong legal skills, a positive attitude, the ability to motivate and manage legal department employees, a strong background in securities regulation, a strong commitment to investor protection, and a desire to work in an association environment.
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