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Corporate - Securities and Capital Markets Attorney in New York City, NY

FINRA. Jun 19,2019 Jun 05,2019 Location USA New York City NY
This job is expired...

Public Interest

Attorney

Corporate - Securities and Capital Markets

Min 12 yrs required

Profile

Senior Director, Statutory Disqualification, Member Supervision, Sales Practice The candidate responsibilities will include: Directs all aspects of Member Supervision’s statutory disqualification function by leading company’s “gatekeeper” role in determining whether it is in the public interest to permit the association or continued association of entities and individuals in the securities industry. Directs the team of professionals charged with executing the function which includes conducting inquiries into applications for admission or re-admission to company membership by statutorily disqualified firms and individuals and preparing detailed written determinations on behalf of company, based on sound legal analysis and factual development. Provides leadership/expertise and approves decisions as to whether to permit an ineligible entity or person to remain in or re-enter the securities industry. 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. Must have broad and deep knowledge of company’s regulatory programs and industry rules and regulations, including all aspects of the statutory disqualification process. Oversees a high-risk portfolio of legal and policy functions related to company’s statutory disqualification program and exercises independent decision-making and leadership. Uses extensive legal experience in and understanding of hearing and appellate processes to render legal and interpretive advice to Member Supervision examination teams and to collaborate with Enforcement in non-disciplinary litigation before the NAC to best position company to achieve optimal results in all forums. Thinks strategically in addressing and resolving novel issues. Effectively collaborates with internal partners in Registration and Disclosure, OGC, and Enforcement. Develops and maintains important relationships with external constituencies such as the SEC and the membership. Advises Examination staff regarding the execution of statutory disqualification reviews to ensure timely action and accurate decision-making by examination and surveillance staff and as needed in the course of membership application proceedings. Leads or participates in internal and external group meetings, conferences, and roundtables on statutory disqualification issues. Possesses strong verbal and written presentation skills, including public speaking on behalf of company at internal and external forums. As subject matter expert, directs, coordinates, recommends and delivers content for training programs as requested. Ensures the recruitment, development and retention of staff consistent with business needs. Demonstrates leadership to develop and supervise a professional staff. Leads and motivates staff to achieve results and encourage teamwork. Effectively communicates with staff and maintains a positive and supportive work environment and culture. Ensures performance metrics are utilized and met in managing the operations of the team. Holds staff accountable for performance and exemplifies behavior consistent with company values. Law degree and bar admission is required. Should have 12+ years of relevant legal experience, preferably in the securities industry. Should preferably have 5 years of management experience. Demonstrated legal research and writing, and public presentation skills are essential.

Additional info

Job Number: 007596

Company info