Employer Industry: Financial Services

Why consider this job opportunity:
- Salary up to $236,000 per year
- Opportunity to participate in a bonus program based on individual performance
- Flexible Time Off (FTO) policy allows for paid time away from the office without a set number of days
- Pension eligibility for long-term financial security
- Hybrid and remote work arrangements available, enhancing work-life balance
- Collaborative work environment with a focus on personal and professional development

What to Expect (Job Responsibilities):
- Lead internal coordination for regulatory examinations and inquiries related to securities laws with various regulatory bodies
- Provide legal advice and support for the retail broker-dealer and investment adviser on compliance and operational issues
- Collaborate with compliance, operations, and risk assessment teams to ensure adherence to legal and regulatory requirements
- Serve as a subject matter expert in the distribution of securities and financial products across multiple channels
- Work closely with litigation peers on civil litigation, arbitration, mediation, and negotiations

What is Required (Qualifications):
- Juris Doctor (JD) degree with 10+ years of experience as an attorney specializing in securities regulation
- Admission to practice law in the relevant state within twelve months of hire
- Strong knowledge of securities laws and their application in a business context
- Superior written and verbal communication skills with executive presence
- Ability to work independently and as part of a team

How to Stand Out (Preferred Qualifications):
- Informal leadership experience in a legal or regulatory environment
- Experience with compliance and risk management in financial services

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