Associate General Counsel, Broker-Dealer Regulatory Compliance

Associate General Counsel, Broker-Dealer Regulatory Compliance

About the Company

Reputable financial services organization

Industry

Financial Services

Type

Privately Held

About the Role

The Company is in search of an Associate General Counsel with a focus on Broker-Dealer Regulatory Compliance to join its corporate legal department. The successful candidate will be a key advisor to the business units, providing guidance on a wide range of broker-dealer and investment advisory compliance issues. This role is pivotal in ensuring regulatory compliance and risk mitigation, and the ideal candidate will have a strong background in this area, with at least 5 years of industry experience. Responsibilities include serving as the day-to-day legal advisor, managing FINRA arbitrations and regulatory inquiries, and developing policies in response to regulatory developments. The role also involves managing and mentoring a team of attorneys and interfacing with compliance and risk departments to ensure adherence to securities regulations.

Applicants for this position at the company should have an active bar license in NY or CA, a JD from an accredited law school, and extensive knowledge of SEC, FINRA, and state securities regulations. The role requires a candidate with demonstrated experience in handling or responding to FINRA arbitrations or regulatory proceedings. The company values a collaborative, business-minded legal team and offers a supportive, non-law firm culture. The position is 100% remote, with a focus on work-life balance, and is suited for a lifestyle attorney who is adept at managing their time and workload effectively.

Travel Percent

Less than 10%

Functions

• Legal