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Melinda Burrows
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General Counsel - Compliance Officer
Refer job# PRPJ139905
 
General Counsel - Compliance Officer Responsibilities: Provide leadership, strategic direction and oversight of the Legal and Compliance function. Drive a culture of compliance throughout the business. Develop and implement organizational policies and procedures. Monitor and review activities of business and support organization to ensure compliance with internal policies and external laws and regulations. Act as a primary interface with regulators on Compliance matters. Establish and maintain strong working relationships as needed. Identify, facilitate, and/or implement changes to policies and procedures in response to changes in laws and regulations effecting the financial services and insurance industry. Monitor compliance issues to resolution including issue identification, resolution plan determination and final resolution. Review, amend, and approve any and all marketing mediums which include websites, radio and television advertisements, print and mailers.

Requirements: JD Degree from an accredited law school. 10+ years of experience practicing law in financial markets. Previous employment experience with SEC or FINRA; highly desired. Technical expertise in FINRA, SEC and state rules and regulations. Experience in auditing, legal and regulatory compliance. High level problem-solving skills are required; problems are technically complex and require the collection, interpretation, and analysis of data from diverse sources. Strong ability to quickly implement strategy and establish previously used systems Strong business acumen, exceptional problem solving, decision making and analytical skills. Ability to excel in a fast-paced growing organization. Excellent written and verbal communication skills. Excellent computer skills including Microsoft Office - Word, Excel and PowerPoint. Experience utilizing or ability to quickly learn - TD Ameritrade, Raymond James, Orion and Redtail.
 
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