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Melinda Burrows
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Corporate Counsel, Licensing & Regulatory
Refer job# WVXA167508
 
Corporate Counsel, Licensing & Regulatory The candidate will oversee the Company s licensing program, including advising on, coordinating, responding to, and maintaining all entity and individual licensing needs for the Company across all products. Monitor, analyze and advise on new and existing regulatory licensing requirements, including coordinating with outside counsel as needed. Interface with state and federal regulatory agencies, serving as the legal point of contact for examinations, audits, submissions, and regulatory communications. Assist in preparing and filing SEC and Blue Sky state securities registration applications and renewals. Manage third-party audit requirements related to state licenses and securities registrations. Responsible for managing the licensing team. Interact with executive officers and Board members on issues related to licensing.

The candidate should have a JD from an ABA-accredited law school and 3+ years of experience at a financial services company, Fintech, government agency, or law firm. Demonstrated knowledge of financial services licensing requirements and general knowledge of financial statutes and regulations. Experience with regulatory licensing examinations. Must be highly organized, and detail-oriented, with superior written and verbal skills. Ability to be strategic, and creative, work independently and coordinate with multiple groups. Flexibility to prioritize, balance, and respond to competing needs within the organization. Experience with Federal Securities and Blue Sky Laws a plus. Experience with the Nationwide Multistate Licensing System & Registry (NMLS) is a plus. Experience managing people a plus.
 
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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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