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Senior Counsel, Regulatory Attorney

Company: Advisor Group
Location: Phoenix
Posted on: July 20, 2018

Job Description:

We currently have an opening for an experienced regulatory and business attorney based at Advisor Group---s Headquarters in Phoenix, AZ.---- This position will report directly to the Associate General Counsel and will be responsible for providing regulatory and business legal advice relating to broker-dealers and investment advisers. --Individuals serving in this position will work closely with senior management on business initiatives and provide legal support on regulatory matters and examinations.Responsibilities:

  • Advise on securities laws, most particularly relating to broker-dealers and investment advisers;
  • Assist in the design and implementation of applicable products, programs and services;
  • Draft and review responses to regulatory examinations;
  • Provide regulatory advice with respect to business agreements;
  • Legal review of disclosure documents, sales and marketing materials;
  • Draft and/or review supervisory procedures and compliance policies and procedures;
  • The attorney serving in this position will be part of a fast-paced, dynamic work-environment, requiring strong legal and analytical skills; a creative approach to problem solving; a demonstrated ability to multi-task and to work successfully on time-sensitive matters; the ability to work as part of a team collaborating with other counsel and business or compliance personnel.Requirements:
    • At least five (5) years of meaningful, ---hands-on--- experience at a major law firm, an in-house legal department, or a regulatory body, working for or interacting with regulators at the SEC, FINRA or other similar agencies.--
    • Familiarity with broker-dealers and registered investment advisers and the laws and rules that applies to these entities is a requirement.--
    • Experience such as with mergers and acquisitions or familiarity with ERISA is not required but is desirable.----Education:
      • JD degree required.--
      • Must be a member in good standing with the State Bar of Arizona, or another jurisdiction and be eligible to register as in-house counsel in Arizona.

        Keywords: Advisor Group, Tempe, Senior Counsel, Regulatory Attorney, Legal, Phoenix, Arizona

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