Professionals within Legal and Compliance provide a wide range of services to our business units. They might help to structure a complex and sensitive cross-border transaction; advise on a new product introduction; develop a training program or defuse an investor dispute. They preserve the firm’s invaluable reputation for integrity and protect the firm from sanctions with policies and procedures that meet regulatory requirements around the world. They also strive to maintain cooperative relationships with governmental policy makers and the regulatory and self-regulatory agencies that govern the firm’s businesses.
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Primary Responsibilities
-Handling SEC, FINRA and State regulatory matters, both as lead counsel and by supervising outside counsel.
-Trial work defending the firm in customer arbitrations before FINRA..
-Advising and evaluating pre-litigation matters.
-Internal reporting on matters handled.
-Providing information for internal and external regulatory reporting.
- Working collaboratively with other litigation attorneys, paralegals and support staff in FL and elsewhere; working with Compliance, Risk and the business in remediating issues and devising improved processes.
QUALIFICATIONS
Skills required (essential)
-Regulatory and Litigation attorney, with 10-15 years of experience, wanted for a position as regulatory counsel and trial lawyer.
-Candidates must have experience handling regulatory investigations and representing clients before regulatory agencies such as the SEC and FINRA.
-Candidates must have trial experience; be able to handle a large volume of diverse matters.
-Be self-motivated and able to work independently, as most matters are staffed with one lawyer.
-Licensed as a FL attorney or willing to take the Florida bar.
-Education level - Juris Doctor
Skills desired
- Extensive FINRA or SEC experience is desired, especially in matters that require amassing data in response to broad and deep regulatory requests.
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