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General Counsel Consulting

General Counsel
Consulting
provided
exceptional
service in helping
my organization
recruit for a hard
to fill position.
They did extensive
work on the front
end to understand
our needs and
our culture and
began referring
highly qualified
candidates almost
immediately.

Melinda Burrows
Deputy General Counsel
- Litigation and
Compliance, Progress
Energy Service Company
LLC

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Counsel Jobs > Employment,Litigation/Counsel/In House/Charlotte, North Carolina Job in North Carolina > Employment,Litigation/Counsel/In House/Charlotte, North Carolina

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Employment,Litigation/Counsel/In House/Charlotte, North Carolina

Refer job# VFXD133544

Vice President / Associate Counsel Regulatory Investigations and Inquiry Duties: Will be primarily responsible for managing the firm s interactions 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 regulatory examinations and investigations of the Firm and its associated persons. Will manage a variety of regulatory examinations and investigations with the support of one or more RII analysts under the attorney s supervision. On occasion, coordination with and management of outside counsel is required. Additional responsibilities include coordinating with the Regulatory Counseling staff in connection with the rendering of legal advice and counsel to the Firm and various business units relating to the application of federal, state and SRO rules and regulations, as well as coordination with the Litigation Group staff in connection with regulatory investigations and examinations that implicate threatened and actual litigation. Manage regulatory examinations and investigations involving the Firm and/or its associated persons. Responsibilities in this area include, among other things, evaluating legal and regulatory risk and exposure, reviewing draft written responses prepared by RII analysts, negotiating productions with regulators, and defending witnesses at testimony and during informal interviews. Coordinate with the Regulatory Counseling staff in connection with the rendering of legal advice and counsel to the Firm and various business units relating to the application of federal, state and SRO rules and regulations. Coordination with other groups in the Legal Department on issues, including the Litigation Group in connection with regulatory investigations and examinations that implicate threatened and actual litigation. Provide on-site counseling to branch office locations and home office business units during regulatory examinations and investigations. Serve as the Legal Department s representative to certain standing and ad hoc Firm committees, task forces, and working groups. 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. Qualification Requirements: A Juris Doctor degree. Licensed member of the Bar, in good standing, in the state in which the attorney is located. 10+ years of securities regulatory experience; prior employment with a federal, state or SRO securities regulator is highly desirable; prior in-house experience preferred. Clear communication and superior writing and analytical skills. Some travel may be required.

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