Search using our robust engine. Get the recommendations you need to get ahead.
Browse through our expansive list of legal practice areas.
Work where you are or where you would like to be. Find where you will work with LawCrossing.
Use our marketplace to feature your opportunity
Start your search today
Set up your account and manage your company profile on LawCrossing
Look through and compare company profiles
Learn from the legal expert
Discover salaries and the scope of your next job
LawCrossing Works Read Testimonials and Share your Story
Carrot Peelers, Sales, Personality and Your Job Search
In-House
Attorney
Litigation - General (consumer)
Min 2 yrs required
Assistant Vice President/ Associate Counsel The candidate will manage regulatory examinations and inquiries involving the Firm and/or its associated persons. Evaluate legal and regulatory risk and exposure, coordinate and prepare written responses and productions, interact with advisors and supervisors, and communicate with regulators as to scope and content of productions and responses. Will provide timely risk assessments and status updates of regulatory matters for executive management. Advise internal departments about risk areas and provide guidance regarding Firm procedures and regulatory requirements. Participate in standing and ad hoc Firm committees and task forces. Stay abreast of regulatory developments and initiatives; maintain current practice knowledge through monitoring of industry related periodicals and other publications.
Qualification and Experience
The candidate should have preferably have Juris Doctorate degree. State Bar Admission is preferred. 2+ years of litigation experience; broker/dealer or regulatory (e.g., FINRA, SEC, MSRB) experience is strong preference. Clear communication and excellent writing skill is preferred.
Job ID: R-001098
Sign Up Now