Description:
Job Overview:The Regulatory Enforcement team within An Investment & Wealth Management Nationwide Company Legal department is dedicated to managing complex regulatory matters with federal and state securities regulators as well as self-regulatory organizations (e.g., FINRA). In practice, this means serving as the principal point of contact in connection with enforcement and for-cause regulatory inquiries of the Firm and its associated persons.
The AVP, Associate General Counsel will work with a team of lawyers and analysts to manage a variety of regulatory inquiries. Additional responsibilities include coordinating with investigative teams and regulatory advice attorneys when counseling the firm and various business units. This individual will also coordinate with the litigation group in connection with regulatory matters concerning threatened or actual litigation. The role will report to the Head of Regulatory Enforcement.
Responsibilities:
- Represent the Firm and/or its associated persons on complex regulatory matters involving the Firm and/or its associated persons. Responsibilities in this area include, among other things, evaluating legal and regulatory risk and exposure, drafting written responses and/or reviewing draft written responses prepared by analysts, negotiating productions with regulators, and defending witnesses at testimony and during informal interviews.
- Coordinate with Regulatory Advice attorneys when counseling the Firm and various business units relating to federal, state, and SRO rules and regulations.
- Partner with investigations teams and investigative counsel to provide advice and guidance.
- Coordinate with the Litigation Group and other groups in the Legal, Compliance, and Risk departments on issues arising out of regulatory inquiries and investigations that implicate threatened or actual litigation.
- Attend industry events and educational seminars focusing on regulatory developments and initiatives; maintain current practice knowledge through monitoring of industry related periodicals and other publications.
What Are We Looking For?
We want strong collaborators who can deliver a world-class client experience. We are looking for people who thrive in a fast-paced environment, are client-focused, team oriented, and are able to execute in a way that encourages creativity and continuous improvement.
Requirements:
- Juris Doctor Degree required.
- Licensed member of any bar, in good standing.
- 4-5 years of securities regulatory enforcement experience at a law firm or prior employment with a federal, state or SRO securities regulator.
- Experience with the Securities Exchange Act of 1934, Investment Advisers Act of 1940, rules and regulations of self-regulatory organizations and basic corporate law principles.
Core Competencies:
- Proven ability to multi-task.
- Superior communication, writing, and analytical skills.
- Ability to travel as needed.
