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Years of Experience
Date Last Verified
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
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