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Associate General Counsel
Richmond Virginia United States

  Job Description Associate General Counsel, Legal   Job Family: Legal Job Title: Associate General Counsel ...

In House Legal Job Listings

Corporate Counsel Litigation & Regulatory
Refer job# XORE160814
Corporate Counsel Litigation & Regulatory The candidate will provide legal guidance and advice on regulatory changes (particularly SEC and FINRA rules) and strategic business objectives impacting brokerage accounts, customer account opening and client lifecycle management issues. Will support Firms international expansion through the development of foreign carrying agreements and negotiations with counterparties. Manage and lead strategy for a diverse range of litigation and arbitration matters, primarily under FINRA rules, but also in more traditional court settings. Monitor changes in relevant regulations, assess the impact and provide legal Identifying necessary changes to the firm's systems and procedures to meet new rules/regulations. Provide regulatory advice and assist in the implementation of new product/service initiatives. Handle regulatory inquiries from the SEC, FINRA, CFTC, NFA and other regulatory authorities. Work with outside counsel in managing larger enforcement matters brought by the firm's regulators. Work with outside counsel as necessary in connection with FINRA arbitrations. Help negotiate clearing and related agreements. Should have 4-6 years post-J.D. experience at a law firm, financial services regulatory agency, exchange, or broker-dealer. Legal expertise in the federal securities laws with a particular emphasis on the Securities Exchange Act of 1934 and FINRA regulations and the Investment Advisers Act of 1940 is required. Must have experience with broker-dealer/investment adviser issues including regulatory matters, products, operations, distribution, administration and compliance. A thorough understanding of FINRA rules, including the ability to provide legal guidance on matters such as licensing/registration, sales practices, marketing materials and net capital is needed.
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