Description:
Position:Seeking an experienced litigation and regulatory attorney who will report to the Firm's General Counsel for Litigation & Regulatory. The candidate will handle all aspects of litigation and regulatory matters, including handling responses to regulatory inquiries, litigation demands, subpoenas and internal investigations.
Background:
Education: Juris Doctor (JD)
Required Experience:
- 5-7 years of experience in the financial services space, either at a law firm or preferably some broker-dealer experience. Experience at a regulatory body is a plus.
- Demonstrable experience in responding to regulatory inquiries and subpoenas.
- Experience in conducting internal investigations.
Responsibilities:
- Responding to regulatory inquiries, subpoenas and conducting internal investigations.
- Assist with litigation and regulation advisory matters that arise at a broker-dealer.
- Liaison with various parties, including the legal department and compliance, to retrieve and collect data for regulatory requests and inquiries. Responsibility for pulling trade data information, including security and options, from various firm order management systems.
- Researching solutions and implementing/tracking remediation items that arise from regulatory or litigation matters
- Collaborate on internal policy and procedure guidance and updates
- Considering and recommending internal disciplinary dispositions
- Assist with additional ad-hoc projects as they arise.
Additional Qualifications:
- proficiency in Microsoft Excel, Word and PowerPoint
- strong written and verbal communications skills
- team player – one who is able to prioritize in a fast moving, high pressure, constantly changing environment
- ability to build, develop and maintain solid working relationships throughout various businesses and corporate departments
