Securities Compliance Attorney/Officer Responsibilities: Interpret new and existing securities laws and regulations and use knowledge and experience to provide guidance to business units across the broker-dealer and registered investment adviser. Analyze existing policies, procedures, processes, and controls to determine gaps or areas for improvement. Lead or assist in leading initiatives or projects to mitigate the risk. Serve as subject matter expert and represent Compliance in business meetings and on committees. Respond to regulatory inquires and communicate with regulators such as FINRA, SEC and the Securities Divisions of each state. Provide training to registered representatives on topics including but not limited to Form U4 requirements, registration, suitability and best interest. Create training that may include in person training or written training such as bulletins and publications.
Qualifications: Bachelor's Degree. Must have 2-5 years of experience in the financial services industry. FINRA SIE, Series 7, 24 and 65/66 securities licenses (or obtained within 150 days of hire). Ability to manage multiple priorities and quickly and efficiently adapt to changes in procedures or policies. Ability to function independently as well as well as cooperatively. Ability to perform assigned tasks within the specified time frames and meet quality expectations. Ability to conduct research and provide management with proposed solutions. Thorough and detail-oriented. Excellent Word, PDF, Excel, and PowerPoint skills. Excellent analytical, research, and writing skills. Excellent interpersonal relationship skills. Excellent verbal and written communication skills. Excellent analytical, research, and writing skills. MBA, Juris Doctorate or other advanced degree. Experience with securities regulators, such as FINRA, SEC and the Securities Divisions of each state. Experience in Securities Compliance. Comprehensive understanding of mutual funds, annuities and/or advisory products.
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