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We currently have an opening for an experienced regulatory attorney based at Advisor Group’s Headquarters in Phoenix, AZ. This position will report directly to the Chief Legal Officer and General Counsel, and will be responsible for broker-dealer and investment advisor regulatory and business legal advice.
Counsel serving in this position will work closely with senior management on business initiatives and advisory programs, and provide legal support on regulatory examinations.
Draft and review responses to regulatory examinations;
Advice on securities laws and regulations and ERISA requirements;
Assist in the design and implementation of applicable products, programs and services;
Provide regulatory advice with respect to agreements;
Legal review of broker-dealer and investment adviser disclosure documents, sales and marketing materials;
Draft and/or review advisory program documents, 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.
Candidates for this position must have at least ten (10) years of meaningful, “hands-on” experience at a major law firm, an in-house legal department, or a regulatory body, providing legal advice to investment advisers, broker-dealers and/or investment companies on securities laws and regulations as well as ERISA requirements.
JD or terminal degree required. Must be a member in good standing with the State Bar of Arizona.
Advisor Group is among the largest networks of independent broker-dealers in the United States. There are four broker-dealers that comprise Advisor Group – (FSC Securities Corporation, Royal Alliance Associates, SagePoint Financial, and Woodbury Financial Services) that foster the spirit of entrepreneurship and independence that is exemplified by our over 6,000 affiliated advisors and manages over $160 billion in client assets.