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Years of Experience
Date Last Verified
ProfileAssociate VP Counsel The candidate will: Investigate and respond to compensatory claims alleging all manner of sales practice violations implicating state, industry and federal securities laws and regulations. Conduct discovery proceedings involving relevant documents and witnesses. Draft and file related pleadings, motions, and settlement papers. Develop case files for adversarial arbitration hearings. Prepare witnesses for direct and cross-examination before Arbitration Panels overseeing claims brought against the firm and its affiliated Financial Advisors. Serve as the firm’s counsel at arbitration hearings conducted throughout the US: present opening statements, direct and cross-examination, summations and associated motion practice. Prepare and present updates and reports to senior business executives on all significant arbitration matters. In addition to the primary responsibilities outlined above, this staff counsel will also support many of the following in-house practice functions: Assist with the supervision of, and “partner” with, outside, retained counsel responding to lawsuits and arbitration claims brought against the firm: serve as the in-house “liaison” for document retrieval and witness preparation; oversee expense budgets and assist with billing issues. Respond to regulatory inquiries and examinations: investigate facts surrounding alleged deficiencies; prepare written submissions to FINRA, SEC and State securities proceedings; participate in On-the-Record interviews of sales and supervisory personnel; prepare and present updates and reports on significant regulatory matters to senior business executives. Provide legal assistance for all required industry filings, including Form U4 and U5, Form BD and Form ADV submissions and amendments. Respond to on-going, day-to-day business and operational inquiries from Financial Advisors, managers and business executives: review requests for new financial product and service offerings; answer questions concerning account opening and maintenance issues, as well as legal questions arising from “unique” client situations: i.e., legacy and intestate issues; garnishment proceedings; Deed-of-Trust interpretive questions; Uniform Gift to Minors matters.
Qualification and Experience
The candidate should have JD degree or terminal degree. Must be a member in good standing with the State Bar of Arizona, New Jersey, or the state where applicant resides. Should have 5+ years “hands-on” experience as a litigator working for a law firm, financial services entity or securities regulator, assigned to securities industry-related claims, lawsuits or regulatory proceedings. “First chair” trial or arbitration experience is strongly preferred. Excellent verbal and written communications skills. Knowledge of the basic sales practice violations at issue in most retail securities arbitration claims: suitability; failure-to-supervise; lack of disclosed risks. Familiarity with the rules of FINRA arbitration proceedings.