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Carrot Peelers, Sales, Personality and Your Job Search
In-House
Attorney
Government and Government Relations
Min 2 yrs required
Legal Counsel, Trading & Wealth - US Duties: Providing internal counsel to launch the U.S. Wealth and Trading products. Ensure that appropriate regulatory policies, procedures and controls and established, maintained and well documented. Drive all ongoing compliance review processes, including annual meetings and necessary filings, policies and procedures. Provide guidance and support to business partners and senior management. Manage and coordinate any regulatory examinations, including written responses. Assist in executing training and communication plans to ensure consistent application of compliance and ethics policies. Analyze changes to regulatory requirements and proactively handle regulatory developments. Review new and updated marketing materials for adequate disclosure and accuracy.
Qualification and Experience
Qualifications: Excellent academic and law firm credentials. Hold a current practicing certificate. 2+ years of strong experience as a private practice lawyer dealing with financial services at a top law firm (and preferably) some in-house experience as well. Should have experience or be able to demonstrate an in-depth knowledge of applying to become a regulated broker-dealer. Excellent English skills (written and oral) are a must. Besides strong analytical skills, being process driven and have a methodological way of working, you need to have excellent communication skills (concise and direct) and experience of influencing a broad range of decision makers and stakeholders. Substantive knowledge and demonstrated expertise in the U.S. securities brokerage industry and financial regulations: Securities Act of 1933, Securities Exchange Act of 1934, and related rules and regulations, including FINRA rules. Broad knowledge and experience with AML, KYC, Financial Crime, and consumer regulations relating to self-directed retail trading. Deep understanding of compliance and licensing is essential. Excellent business judgment, communication and interpersonal skills. Enthusiasm for taking on new responsibilities, even if outside areas of expertise. Able to learn new areas of the law quickly. Able to work in extremely fast-paced environment, collaboratively, and autonomously. Willingness and ability to travel. Willing to take on new challenges.
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