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Date Last Verified
Years of Experience
ProfileAssociate 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.
2-68 E Thomas Rd
Phoenix, AZ 85012