Responsible for providing advice and counsel to the company's retail sales force and various business partners to ensure compliance with applicable FINRA and SEC regulatory rules as well as individual state securities and insurance statutes.
Conduct investigations of significant compliance violations and recommend appropriate sanctions and remediation plans.
Coordinate with employment and litigation counsel on matters involving sales practice issues. Assist customer relations department in addressing sales practice complaints.
Respond to inquiries from regulators and successfully resolve enforcement actions.
Provide critical analysis of key legal and compliance issues to business partners and supervisors on high-risk matters.
Conduct training for supervisory personnel on securities and insurance regulatory issues.
Maintain current knowledge of securities and insurance laws.
Recommend, develop and implement changes to existing policies and procedures, as warranted, to comply with updated regulations.
Qualifications The successful candidate will bring:
J.D. Attorney with approximately 5+ years of experience, preferably in the financial services industry or relevant law firm experience
Experience related to FINRA sales practice rules
Strong organizational skills
Demonstrated ability to work in a fast-paced environment
Excellent written and oral communication skills
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