Senior Counsel Regulatory Attorney

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Senior Counsel, Regulatory Attorney
Responsibilities: 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; The attorney serving in this position will be part of a fast-paced, dynamic work-environment, requiring strong legal and analytical skills; a creative approach to problem solving; a demonstrated ability to multi-task and to work successfully on time-sensitive matters; the ability to work as part of a team collaborating with other counsel and business or compliance personnel; All other duties as assigned.

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