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

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Counsel Jobs > General Counsel Head Of Municipal Securities Group Compliance Job in New York > General Counsel Head Of Municipal Securities Group Compliance

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General Counsel Head Of Municipal Securities Group Compliance

Refer job# KIMV170785

General Counsel Head of Municipal Securities Group Compliance The candidate will manage and administer all policies and procedures associated with the Firm's MSG as well as policies concerning municipal securities that pertain to FICM Admin, PCG, and other Stifel business units. Develop, implement, operate, and be responsible for the Firm's compliance program that is designed to meet regulatory, corporate requirements as they pertain to municipal securities. Supervise the Municipal Compliance Department in conducting daily, periodic, and special compliance reviews involving the analysis of relevant documents, information, and records. Monitor and test the Firm's municipal securities policies and procedures to determine the adequacy and effectiveness of the Firm's municipal securities compliance program. Prepare and submit all required regulatory filings and disclosure documents in a timely and accurate manner. Train relevant personnel on municipal securities regulatory compliance matters to enhance understanding and awareness throughout the organization. Maintain well-organized systemic records of the Firm's municipal securities compliance program in the event of an outside audit and/or regulatory examination. Interface with regulators, examiners, internal legal counsel, and outside legal counsel as matters pertain to job duties. Maintain ongoing expertise in federal and state regulatory policies and communicate pertinent industry matters to senior management and the MSG. Provide direction, education, and support to the MSG and the Firm with respect to fiduciary and regulatory compliance activities. Learn and advise on new areas of law as products and services expand. Supervise external counsel. Perform such other duties as assigned by the Head of Municipal Securities Group Legal. The candidate should have 10+ years of experience in municipal securities Legal and/or Compliance. Should have a JD degree, in good standing with a US State Bar. Experience managing multi-disciplinary teams of professionals. Strong knowledge and understanding of municipal securities laws and rules, including those of the SEC, FINRA, and the MSRB. Experience dealing with the U.S. Securities & Exchange Commission. Proven ability to add value through superior legal advice in a financial services context, including by counseling and generating good ideas for better structuring, risk mitigation, and effective provision of banking services. Practical knowledge of and experience providing advice regarding laws, rules and regulations relating to municipal securities transactions. Familiarity with Securities Act of 1933 and Securities Exchange Act of 1934, as well as MSRB rules and FINRA rules pertaining to fixed income securities. Excellent written and spoken communication, research and strategic thinking abilities. Eager to be part of a thriving and fast-paced large fixed-income business.

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