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Date Last Verified
Years of Experience
ProfileLegal Counsel - Broker/Dealer
Qualification and Experience
Requirements: 7-10 years relevant experience across comparable in-house positions and/or a major U.S. or international law firm. J.D. from accredited law school, admitted to practice and in good standing with relevant state bar; Excellent academic credentials. Ability to handle significant regulatory matters independently. Familiarity with U.S. and/or global securities laws, with working knowledge of the ’33 Act and ’34 Act. Understanding of industry specific issues and FINRA Rules. Excellent written and oral communication skills and strong organizational skills. Ability to prioritize amongst competing and changing deadlines. Experience with E&O, D&O and Fidelity matters. Experience managing other attorneys and supervising support staff in a corporation is required as well as experience with cost effective management of outside legal resources.