Senior Regulatory Counsel recruitment
As a senior regulatory consultant you must be authoritative and confident in your identification of potential outstanding and forseeable issues. You must be able to advise the General Counsel and Senior Management on the priority order and develop a work flow in accomplishing the completion of this project. Legal or compliance project management experience does help.
Specific tasks may include assessing the internal legal and compliance needs, blue-printing new policies and procedures, re-drafting of the policies and procedures , revising and correcting ADV forms 2a/2b, as well as providing assistance with preparing for SEC and other agency audits.
The preferred candidates will have a strong law firm background (Investment management practice) paired with In-house legal and compliance experience.
- 5-7 years of general broker-dealer legal/regulatory/compliance experience, preferably in an investment bank or law firm
- Legal degree from US accredited law school
- Good knowledge of applicable SEC, FINRA, MSRB, NYSE, CFTC and other federal securities and banking laws, rules and regulations
- Excellent oral and written communication skills
- Ability to project confidence and professionalism in all dealings with business personnel
- Dodd Frank experience a plus
- Regulatory experience a plus
- Project management experience a plus