Vp Of Legal And Compliance

Profile

VP of Legal and Compliance
The candidate will serve as the internal lead for all regulatory and legal matters. The ideal candidate has a background in corporate or regulatory law and some exposure to broker/dealer FINRA regulatory compliance. Draft and maintain template legal agreements including Engagement Letters, Non-Disclosure and Confidentiality Agreements. Negotiate legal agreements with clients / client counsel as needed. Review and advise on legal terms for material firm contracts. Primary point of contact with company's outside counsel on all matters. Evaluate and manage Conflicts Check process as needed. Serve as Company Secretary. Manage disputes and litigation matters, in coordination with outside counsel as needed. Primary point of contact with company's Compliance service provider / Chief Compliance Officer on all matters. Ensure timeliness and accuracy of all required regulatory filings. Serve as internal lead with regulators on compliance matters. Manage the firm’s Restricted List. Coordinate efforts related to Regulatory audits, reviews and examinations in partnership with Chief Compliance Officer. J.D. degree from an accredited law school is preferred. Should preferably have 4-8 years of experience in the legal field, ideally with some exposure to regulatory compliance. Prior experience in broker/dealer FINRA regulatory compliance is a plus. Experience working in, or on behalf of, investment banking firms or knowledge of the industry is a plus. FINRA series 7/63/24 and any additional applicable licenses is a plus. Bar admission in current good standing, with a license to practice in one U.S. state is preferred.

Company info

Sign Up Now - EmploymentCrossing.com