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Junior Attorney The candidate will investigate broker-dealer or general litigation filed against the company and will assist in developing and implementing strategy, drafting or editing pleadings and in staying on top of deadlines. Will also research and resolve consumer complaints related to securities products, including mutual funds, variable annuities, managed accounts and 529 plans, as well as other services provided by the firm Companies’ sales force and will assist representatives in the preparation of required statements and negotiate and implement settlements with consumers. Respond to regulatory inquiries, particularly from securities regulatory bodies, regarding complaints and/or litigation or other matters. Law Degree and admission to the bar of any state is advantageous. Should have 1-5 years of relevant broker-dealer or securities regulatory experience. Series 6 and Series 26 Securities licenses (or obtained with 180 days of hire through a learning agreement) is advantageous. Basic knowledge of broker-dealer industry rules and regulation is essential. Excellent verbal and written communication skill is advantageous. Strong mathematical, analytical and organizational skill is essential. Computer proficiency in MSWord, Excel and PowerPoint or Prezi is advantageous. Solid electronic research skills in social media and trademark misuse is advantageous.
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