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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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Legal Counsel for Beneficiaries; Proposition 19 & Property Tax Relief; Elder Law
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Counsel Jobs > Securities Attorney Job in Maryland > Securities Attorney

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YOUR WINDOW TO A WORLD OF OPPORTUNITIES

Securities Attorney

Refer job# CWCQ154252

Securities Attorney The candidate will support legal issues and regulatory matters related to a registered investment advisor, a wholesale registered broker/dealer, a trusted company, and exempt and registered investment products for the Workplace Division. Will require working closely with the operations, advice, sales, marketing, and product development teams on the application of federal and state law and regulation and SEC, DoL, and FINRA rules as they relate to the retirement business. Work on issues where analysis of legal business matters requires an evaluation of various factors and exercises judgment commensurate with experience. Review pre-existing documents and templates within the assigned practice area(s). Collaborate with pre-selected outside counsel as directed. Provide a variety of general legal services to a number of in-house constituents, primarily within the legal and compliance department, but will work with business partners with oversight under the supervision of more senior attorneys with moderate discretion to make independent decisions within predefined guidelines. Confer with business areas as directed. Participate in departmental and cross-functional working groups as directed. Examples of work: Select from pre-approved, options in template contracts; conduct legal research for a more senior attorney; assist in responding to discovery requests; review and approve certain customer correspondence (e.g., letters, advertising). The candidate should have a JD degree from an ABA-accredited law school. Must have 2 years of legal experience. Must be licensed or eligible to practice in the applicable state. Should be proficient using MS Office. Experience as in-house counsel with subject matter expertise in retirement plans, collective investment trusts, and investment advisory programs is preferred.

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