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
...and proactive. Able to prioritize the workload and use time efficiently. Hiring Rate Minimum: $21.00 hourly (minimum will not fall below the applicable state/local minimum wage thresholds) Hiring Rate Maximum: $21.00 hourly WME is an equal opportunity employer...
...Job Description Wellspring Nurse Source is seeking a travel nurse RN Occupational Health for a travel nursing job in Bethel, Alaska. Job Description & Requirements ~ Specialty: Occupational Health ~ Discipline: RN ~ Start Date: 12/01/2025~ Duration: 13...
...Job Description Job Description Tendercare Home Health is seeking a dedicated and compassionate Licensed Practical Nurse to... ...opportunities. - Enjoy comprehensive health, dental, vision, life insurance, and 401k benefits. - Empower patients to stay in the comfort...
...Patient Care Coordinator - Front Office (Administrative) NOW Hiring Patient Care Coordinator Front Desk. Doctors of Physical Therapy seeks a full?time Patient Care Coordinator for our Edgar, WI location. Ideal candidate will be seeking longevity with a growing company...
...Krista Staffing is a newly established staffing agency specializing in recruiting qualified healthcare professionals, including Home Health Aides (HHA),... ... Proactively source and engage candidates through online channels, job fairs, community outreach, and direct recruitment...