Job Details

Associate Vice President Counsel

Company name

Advisor Group.

Organization Type

In-House

Job Type

Attorney

Date Last Verified

Jun 18,2018

Posted on

Jun 12,2018

Years of Experience

Min 5 yrs required

Location

Jersey City, NJ
Practice Area
Finance >> Finance - General
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Associate Vice President Counsel The candidate will report directly to the Senior Counsel. Will be responsible for handling regulatory and litigation matters involving Advisor Group’s broker-dealers and investment advisers. Provide legal support during regulatory examinations. Advise on securities laws and regulations, most particularly relating to broker-dealers and investment advisers. Handling of FINRA arbitration matters and regulatory inquiries and investigations in a “first-chair” capacity. Supervising and assisting outside counsel retained by Advisor Group to handle regulatory and litigation matters. Draft and review responses to regulatory examinations. Should have 5+ years of meaningful, “hands-on” experience at a major law firm, an in-house legal department, or a regulatory body, working for or interacting with regulators at the SEC, FINRA or other similar agencies. Familiarity with broker-dealers and registered investment advisers and the laws and rules that applies to these entities is essential. First-chair experience in FINRA arbitrations or regulatory proceedings is preferred. Must have Juris Doctorate degree. Must be a member in good standing with the State Bar of New Jersey, or another jurisdiction and be eligible to register as in-house counsel in New Jersey.

Additional info

Ref. R0000426

Company info

Hiring Coordinator
Advisor Group.
2-68 E Thomas Rd
Phoenix, AZ 85012

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