Regulatory And Litigation Counsel

Full-time 1 views
Company Wedbush Securities Location New York City, NY, United States



Min 3 yrs required


Aug 26, 2022

May 13, 2022


Regulatory and Litigation Counsel
The candidate will handle regulatory matters involving the SEC, FINRA, and other governmental and self-regulatory organizations. Personally handle or work as co-counsel representing Wedbush in FINRA arbitrations and FINRA and SEC enforcement proceedings. Provide effective oversight and management of outside counsel on litigation and regulatory enforcement cases. Work collaboratively and effectively with the Compliance Department and other members of the Legal Department to ensure a positive relationship with firm regulators. Provide advice and counsel on legal cases and compliance/regulatory matters. Communicate efficiently with both management and fellow members of the legal team. Oversee paralegals in responding to subpoenas and other document requests. Support the Firm’s employment activities and play a role in ensuring the company’s compliance with U.S. laws. Collaborate with other attorneys, concerning advice and counseling provided to HR and other cross-functional partners. Perform other tasks and duties as required and assigned. Should have a J.D. from a law school counsel. Licensed to practice in California or New York. Financial services experience required. Should have 3+ years of experience with FINRA and SEC matters, and 3+ years of legal experience in securities matters, including the '33 Act, '34 Act, SEC rules, and related considerations. Must have strong legal research, analytical, and problem-solving skills. Must have highly organized and able to multi-task and manage multiple projects and competing priorities without sacrificing accuracy or efficiency, strong analytical, problem-solving, and critical-thinking skills. Must have the ability to work independently and exercise sound judgment in determining when to consult management, colleagues, and clients. Must have excellent verbal and interpersonal communication skills demonstrated by the ability to interact with all levels of management, employees, outside legal counsel, and government officials. Must have the ability to anticipate and identify issues, develop solutions, and manage occasional periods of heavy work demands.

Additional info

Job ID: 512079-818764

Company info

Hiring Coordinator
Wedbush Securities
1000 Wilshire Boulevard
Los Angeles, CA 90017

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