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General Counsel Consulting

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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Counsel Jobs > Securities Compliance Attorney/officer Job in Georgia > Securities Compliance Attorney/officer

In House Legal Job Listings

YOUR WINDOW TO A WORLD OF OPPORTUNITIES

Securities Compliance Attorney/officer

Refer job# YJID165180

Securities Compliance Attorney/Officer Duties: 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. 2+ 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 with aptitude for identifying risk and capability to research complex problems and collaborate to create solutions. Excellent Word, PDF, Excel, and PowerPoint skills. Excellent analytical, research, and writing skills. Excellent interpersonal relationship skills. Excellent verbal and written communication skills. Preferred qualifications: MBA, JD Degree or other advanced degree. Experience with securities regulators, such as FINRA, SEC and the Securities Divisions of each state. Strong knowledge of FINRA, SEC, FinCEN, OFAC, AML and state securities rules and regulations. Anti-Money Laundering (AML) experience. Comprehensive understanding of mutual funds, annuities and/or advisory products.

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