Counsel, Oversight Liaison And Counsel

Profile

Counsel, Oversight Liaison and Counsel
Duties: Assist with the organization, review and production of responses to SEC Oversight Inspections and other Government productions as needed, pursuant to applicable procedures. In this capacity, will help to coordinate documents productions, assist Departments in responding to government requests, and assist as necessary in the gathering of information and documentation. Conduct due diligence reviews of responsive documents and information prior to production. Draft and edit responses to government requests and reports. Attend and participate in meetings with the SEC and other oversight authorities. Closely track, index and archive productions made to oversight authorities. Assist with certain internal compliance functions and initiatives, as well as non-oversight productions. Assist or manage special projects for the Member Supervision Department, provide subject matter expertise when necessary, and draft various management reports. Support the culture within of full cooperation with Oversight Agencies and RSA clients by ensuring full and accurate responses to inspection requests.

Qualification and Experience

Requirements: Law degree required. 5+ years of professional experience at the SEC, a Self-Regulatory Organization, a Broker-Dealer, or a law firm, in regulation, enforcement, and/or examination for compliance with the securities laws and rules is required. Subject matter expertise in the Federal Securities Laws, the rules and regulations governing the securities industry, the regulation of Self-Regulatory Organizations, and the practices of the trading and market-making businesses of member firms is required. Strong written communication skills; Strong judgment and interpersonal skills; and Strong organizational and investigatory skills.

Company info

Hiring Coordinator
FINRA.
HARBORSIDE 2, 200 HUDSON STREET
SUITE 501
Jersey City, NJ 07311