Support PDF,DOC,DOCX,TXT,XLS,WPD,HTM,HTML fils up to 5MB
Years of Experience
ProfileVice President, Broker Dealer Legal Counsel
Qualification and Experience
Requirements: Requires a JD Degree with outstanding academic credentials from a nationally recognized law school and 4-7 years’ experience as a lawyer in a major law firm or in the legal department of a leading financial services organization. Expertise in regulations for U.S. broker-dealers including FINRA rules, and in the Investment Advisers Act of 1940 is required, and familiarity with other U.S. federal securities laws, such as the Investment Company Act of 1940, is strongly advantageous. Should have exceptional analytical, written and verbal communication, strong interpersonal and relationship-building skills, and must be able to work effectively both independently and as a member of the team, in a demanding, fast-paced, global environment prioritizing multiple tasks and projects concurrently while maintaining high standards and attention to detail. Must have the ability and desire to develop expertise in new or unfamiliar areas of law.