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Years of Experience
Date Last Verified
ProfileVP/AVP Associate Counsel The candidate will manage a variety of regulatory examinations and investigations with the support of one or more Regulatory Investigations and Counseling analysts under the attorney’s supervision. Manage and defend regulatory examinations and investigations involving the Firm and/or its associated persons. Evaluate legal and regulatory risk and exposure, coordinate and prepare written responses and productions, communicate with regulators as to scope and content of productions and responses, and defend witnesses at testimony and during informal interviews. Prepare drafts of internal policies and procedures for business units, especially the Governance, Risk and Compliance department, and coordinate with business units on finalizing such policies and procedures. Provide timely risk assessments and status updates of regulatory matters for executive management. Advise internal departments about risk areas and provide legal guidance regarding Firm procedures and regulatory requirements. Provide on-site counseling and defense to branch office locations and home office business units in the context of regulatory examinations and investigations. Oversee internal investigations of alleged violations of securities laws and rules and internal policies and procedures identified through whistleblower tips, regulatory tips, and other sources. Serve as the Legal Department’s representative to standing and ad hoc Firm committees and task forces. Attend industry events and educational seminars focusing on regulatory developments and initiatives; maintain current practice knowledge through monitoring of industry related periodicals and other publications. Must have Juris Doctor degree and licensed member of the bar, in good standing, in the state in which the attorney is located. Should have 10+ years of securities regulatory experience. Prior employment with a federal, state or SRO securities regulator is desired.
Job ID R-000043