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

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Compliance Counsel
Refer job# CUAP156258
 
Compliance Counsel The candidate enforces the company's Code of Ethics and Standards of Conduct for financial planners by investigating potential misconduct (including regulatory violations) and advocating for professional sanctions in hearings before a peer-review professional adjudicatory body. Efficiently and effectively investigates, researches, and analyzes alleged violations of the company's Code and Standards. Provides guidance to Compliance Analysts and other department personnel on the handling of investigations and complaints, including with respect to the same issues that arise in the Compliance Counsel's assigned cases. Identifies and expedites targeted classes of cases such as financial planning cases or customer grievances. Acts as an advocate on behalf of the company in hearings before the company's Disciplinary and Ethics Commission. Collaborates with the Director, Investigations as to the handling of investigations. Recommends procedures and policies that will assist in the efficiency of the department. Provides legal research and writing support for issues pertaining to federal and state regulation of broker-dealers, registered investment advisers, insurance agents, and other financial professionals.

The candidate must have a J.D. (Juris Doctorate) degree from an accredited law school and an active status licensed attorney in any state; eligible to be admitted in the District of Columbia with 5+ years ? experience as an enforcement attorney presenting cases in administrative hearings or similar substantive legal practice experience desired. Financial services regulatory background preferred. Must have proficiency with Microsoft Office. Working knowledge of broker-dealer, investment adviser, and insurance regulations desired. Self-starter with strong motivation, proven results orientation, and consistent track record needed. Outstanding attention to detail and organizational skills required. Be able to quickly prioritize and meet critical deadlines. Must possess excellent written and verbal communication skills. The ability to prepare and present facts in a logical, clear, and concise manner is required. Strong customer service focus and ability to effectively communicate with individuals under duress is needed.
 
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This particular job is currently not active. However, since our clients regularly share with us similar and other job openings, we strongly recommend that you submit your resume. We shall review your resume and get in touch with you as soon as a suitable vacancy comes up to further discuss your interest in exploring the opportunity. Assisting you is our highest priority.

Please be assured that none of your materials will be forwarded to any employer without your consent. Of course, all inquiries are kept strictly confidential.
 
 

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