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Public Interest
Attorney
Corporate - Asset/Investment Management
Corporate - Securities and Capital Markets
Min 10 yrs required
Vice President and Associate General Counsel, Broker-Dealer/Investment Adviser Group The candidate will develop, direct and manage the OGC's program with respect to regulatory matters requiring specialized expertise in the regulation of broker-dealer/investment advisers (BD/IAs), including rendering independent expert advice in this area. Provide high quality and timely legal and advisory support to the organization's business units, including Member Supervision and Enforcement, and serves as the point of escalation for legal policy issues involving BD/IA regulation. Advise senior management and other internal and external stakeholders on legal policy issues involving novel and complex issues and coordinates with business units on legal policy statements. Provide expert knowledge to the Board of Governors and senior management, advising them on high-impact, legally and politically complex and sensitive regulatory matters and rule changes. Be recognized by the organization and the industry as a top/primary expert in BD/IA regulation and well as other areas, rendering independent expert advice in these areas. Manage OGC's role with respect to regulatory matters involving BD/IAs. Coordinate closely with FINRA business units and other regulators as appropriate in the development and communication of legal policy statements. Directly supervise, train and mentor other OGC attorneys and supervise directly or assist in supervising and directing regulatory analysts, paralegals and administrative staff in OGC. Direct and manage legal analysis and necessary research with respect to regulation of cross BD/IA activities. Provide expert-level legal counsel and assistance to projects and initiatives of Regulatory Operations and other departments and support them in achieving their goals, including supporting the organization's examination and enforcement programs to further reflect a holistic approach to member firms' business operations. Analyze SEC, industry, and other self-regulatory organization initiatives concerning BD/IA regulation and develop and maintain strong and cooperative working relationships with other regulators and stakeholders. Advise the Board of Governors and advisory committees on dual BD/IA regulation with respect to high-impact, legally and politically complex, and sensitive regulatory matters and rule changes under consideration by the Board. Brief and communicate complex and sensitive regulatory matters to senior executives. Prepare and oversee the preparation of legal policy statements and Board materials that contain sophisticated analyses and discussions of competing policy or political considerations necessary for the informed judgment of the issues by senior management and the Board, as appropriate, including insights from investment adviser regulation. Partner in the drafting and review of new rule proposals; gather and incorporate views of industry participants, other regulators, and senior staff; and partner in the preparation of Regulatory Notices and rule filings to the SEC. Prepare comments on regulatory proposals in the area from other regulators. Prepare rule guidance and other correspondence with member firms and their outside counsel. Work closely with the Office of the Chief Economist, develop economic impact assessments of rulemakings and conduct the retrospective review of rules on behalf of OGC, as assigned. Represent the organization before industry and regulatory groups and organizations. Serve as a speaker at regulatory policy conferences and meetings of the organization's committees on areas of subject matter expertise. Lead or participate in ad hoc special projects and initiatives as requested. Support enforcement of office procedures concerning regulatory proposals and legal interpretive positions. Provide and implement suggestions to increase efficiency and effectiveness of procedures. Develop communications as needed for Chief Legal Officer and other senior management.
Qualification and Experience
The candidate should have a Law degree from an accredited law school, admission to a Bar, and 10+ years of relevant legal experience. Should demonstrate expertise with respect to the Exchange Act and Investment Advisers Act, their rules, and related SEC interpretative guidance, as well as knowledge concerning state BD/IA regulation. Must demonstrate expertise regarding the BD/IA industry and various business models therein. Should have expert knowledge of laws, rules, and regulations governing the securities industry, with a focus on the Exchange Act and Investment Advisers Act, their rules, and related SEC interpretive guidance, as well as knowledge concerning state BD/IA regulation. Knowledge of Investment Company Act and fund regulatory experience preferred. Public speaking and appearing at regulatory conferences are required. Occasional travel and extended hours may be required.
Job Requisition ID: R-006245
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