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Public Interest
Kansas City, MO, United States
Principal Counsel, Statutory Disqualification
Attorney
Company Review
8-10 yrs required
Full-time
No
Principal Counsel, Statutory Disqualification The candidate supports the execution of the organization's Statutory Disqualification Program by researching, preparing documents and providing recommendations on matters handled by Member Supervision's Statutory Disqualification Group. Demonstrates an advanced ability to apply legal principles and knowledge of securities regulations, successfully works across department lines, and effectively communicates with internal and external stakeholders on statutory disqualification issues. Utilizing advanced investigative skills, conducts extensive research and inquiries into applications for admission or re-admission to membership by statutorily disqualified firms and individuals. Performs advanced legal research, analyzing and applying relevant case law in support of recommendations. Demonstrates strong legal writing skills, prepares recommendations and decision on behalf of the organization based on thorough legal analysis and factual development. Applies advanced advocacy skills in communicating with member firms regarding applications. If re-entry is permitted, ensures heightened supervision plans are agreed to and implemented by member firms and individuals in order to best protect investors. Reviews, edits, and provides substantive feedback on the written work product of junior legal staff. Provides advice on rules and policy issues related to statutory disqualification and effectively communicates with senior management, the National Adjudicatory Council and the SEC as warranted. Effectively collaborates with Registration and Disclosure, the Office of General Counsel, and Enforcement. Advises Examination staff regarding the execution of statutory disqualification reviews, and coordinates closely with Enforcement regarding the recommendation process. Prepares legal and policy memoranda, letters, and other documents relating to the interpretation and administration of Rule 9520 Series. Demonstrates advanced knowledge of the organization's regulatory programs and industry rules and regulation. Effective at quick action in rendering guidance to examiners and risk monitoring analysts to ensure timely action and accurate decision-making by examination and surveillance staff and as needed in the course of membership application proceedings. Recommends and prepares content for training programs as requested. Performs special projects as assigned.
Legal analysis, legal research, legal writing, advocacy, securities regulations, securities laws, SRO rules, interpretive guidance, regulatory hearing, appellate processes, communication, collaboration, advanced investigative skills, research, decision-making, policy analysis, training, project management, time management, attention to detail, teamwork, deadline-driven, multitasking, problem-solving, leadership, mentoring, supervising, mentoring, public speaking, Microsoft Office, Westlaw, LexisNexis, Bloomberg Law, Quicklaw, legal databases, web-based research, social media, knowledge of financial industry, understanding of securities laws and regulations, ability to work under limited supervision, ability to work independently, discretion, confidentiality, ability to handle sensitive information, ability to work in a fast-paced environment, ability to adapt to changing priorities, ability to work with diverse stakeholders, excellent written and verbal communication skills, strong interpersonal skills, ability to provide guidance and advice, ability to make decisions, ability to analyze and apply legal principles, attention to detail, strong organizational skills, ability to prioritize tasks, ability to manage multiple projects, ability to work under pressure, advanced knowledge of FINRA's regulatory programs, ability to effectively communicate with internal and external stakeholders, ability to work with a team, understanding of legal and ethical standards, ability to perform legal research and analysis, knowledge of securities industry, knowledge of securities regulations, ability to interpret and apply laws and regulations, ability to draft legal documents, ability to provide legal advice, ability to handle complex legal matters, advanced knowledge of securities laws and regulations, ability to provide guidance on policy issues, ability to manage and supervise junior legal staff, ability to conduct investigations, ability to provide legal recommendations, ability to work with various departments, ability to develop and deliver training programs, ability to handle confidential information, ability to handle high volume of work, strong time management skills, ability to meet deadlines, ability to work in a fast-paced environment, ability to work independently, ability to work collaboratively, ability to adapt to changing priorities, ability to handle multiple projects, strong attention to detail, ability to work under pressure, ability to effectively communicate with various stakeholders, ability to make effective decisions, ability to work with diverse teams, knowledge of legal and ethical standards, strong analytical skills, ability to manage and prioritize tasks, ability to mentor and supervise junior staff, ability to handle sensitive information, ability to handle complex legal matters, ability to provide guidance and advice on legal issues, ability to work with various legal databases, familiarity with social media, knowledge of financial industry, understanding of securities laws and regulations, ability to effectively communicate with internal and external stakeholders, strong written and verbal communication skills, strong interpersonal skills, ability to handle high volume of work, strong time management skills, ability to meet deadlines, ability to work independently, ability to work collaboratively, ability to adapt to changing priorities, strong problem-solving skills, ability to work under pressure, ability to effectively communicate with diverse stakeholders, ability to handle confidential information, strong attention to detail, ability to work with a team, ability to make effective decisions, knowledge of legal and ethical standards, ability to analyze and interpret laws and regulations, ability to draft legal documents, ability to provide legal advice, ability to handle complex legal matters, ability to manage and prioritize tasks, ability to mentor and supervise junior staff, ability to work with various legal databases, familiarity with social media, knowledge of financial industry, understanding of securities laws and regulations, ability to effectively communicate with internal and external stakeholders, strong written and verbal communication skills, strong interpersonal skills, ability to handle high volume of work, strong time management skills, ability to meet deadlines, ability to work independently, ability to work collaboratively, ability to adapt to changing priorities, strong problem-solving skills, ability to work under pressure, ability to effectively communicate with diverse stakeholders, ability to handle confidential information, strong attention to detail, ability to work with a team, ability to make effective decisions, knowledge of legal and ethical standards, ability to analyze and interpret laws and regulations, ability to draft legal documents, ability to provide legal advice, ability to handle complex legal matters, ability to manage and prioritize tasks, ability to mentor and supervise junior staff, ability to work with various legal databases, familiarity with social media, knowledge of financial industry, understanding of securities laws and regulations, ability to effectively communicate with internal and external stakeholders, strong written and verbal communication skills, strong interpersonal skills, ability to handle high volume of work, strong time management skills, ability to meet deadlines, ability to work independently, ability to work collaboratively, ability to adapt to changing priorities, strong problem-solving skills, ability to work under pressure, ability to effectively communicate with diverse stakeholders, ability to handle confidential information, strong attention to detail, ability to work with a team, ability to make effective decisions, knowledge of legal and ethical standards, ability to analyze and interpret laws and regulations, ability to draft legal documents, ability to provide legal advice, ability to handle complex legal matters, ability to manage and prioritize tasks, ability to mentor and supervise junior staff, ability to work with various legal databases, familiarity with social media, knowledge of financial industry, understanding of securities laws and regulations, ability to effectively communicate with internal and external stakeholders, strong written and verbal communication skills, strong interpersonal skills, ability to handle high volume of work, strong time management skills, ability to meet deadlines, ability to work independently, ability to work collaboratively, ability to adapt to changing priorities, strong problem-solving skills, ability to work under pressure, ability to effectively communicate with diverse stakeholders, ability to handle confidential information, strong attention to detail, ability to work with a team, ability to make effective decisions, knowledge of legal and ethical standards, ability to analyze and interpret laws and regulations, ability to draft legal documents, ability to provide legal advice
Job Requisition ID: R-007510
Qualification and Experience The candidate should have a law degree with admission to the Bar. Must have 8-10 years of broker/dealer or related regulatory or legal experience. Prior demonstrated experience analyzing and applying securities laws, SRO rules and interpretive guidance to business situations is required. Should have advanced ability to apply legal principles and knowledge of securities regulations to analyze membership applications. Advanced knowledge of SEC, FINRA and SROs' rules relating to regulatory requirements, and state and federal securities law is needed. Broad understanding of regulatory hearing and appellate processes is essential.
Legal
May 29, 2024
Feb 14, 2024
Qualification and ExperienceThe candidate should have a law degree with admission to the Bar. Must have 8-10 years of broker/dealer or related regulatory or legal experience. Prior demonstrated experience analyzing and applying securities laws, SRO rules and interpretive guidance to business situations is required. Should have advanced ability to apply legal principles and knowledge of securities regulations to analyze membership applications. Advanced knowledge of SEC, FINRA and SROs' rules relating to regulatory requirements, and state and federal securities law is needed. Broad understanding of regulatory hearing and appellate processes is essential.
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