Senior Counsel Regulatory Attorney

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Senior Counsel, Regulatory Attorney
The candidate will report directly to the Associate General Counsel and will be responsible for providing regulatory and business legal advice relating to broker-dealers and dual registrants. Will work closely with senior management on business initiatives and provide legal support on regulatory matters and examinations. Advise on securities laws, most particularly relating to broker-dealers; Familiarity with Reg BI and FINRA Rules and their applications to broker-dealers; Draft and review responses to regulatory examinations; Legal review of disclosure documents, sales and marketing materials; Draft and/or review supervisory procedures and compliance policies and procedures; All other duties as assigned. JD degree is required. Must be a member in good standing with the State Bar of Arizona, or another jurisdiction and be eligible to register as in-house counsel in another jurisdiction. 10 years of meaningful, “hands-on” experience at a major law firm, an in-house legal department, or a regulatory body, working for or interacting with regulators at the SEC, FINRA or other similar agencies. Familiarity with broker-dealers and registered investment advisers and the laws and rules that applies to these entities is a requirement. Experience such as with mergers and acquisitions or familiarity with ERISA is desirable.

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