Parker + Lynch’s client, one of the largest financial services firms in the U.S., is seeking a Senior Counsel to fill a key role in its Washington D.C. office. This is an exciting and challenging opportunity to work with a broker-dealer that leads in technology-focused securities brokerage. Compensation is highly competitive, and includes benefits, a yearly bonus and equity!
The firm is seeking a motivated attorney with experience in securities and broker-dealer issues to become a regulatory and enforcement-focused Associate General Counsel in the Washington, D.C. office. Responsibilities include assisting the General Counsel in handling various regulatory and enforcement- related matters, including regulatory inquiries from the SEC, FINRA, CFTC, NFA and other regulatory authorities; identifying necessary changes to the firm’s systems and procedures to meet new rules/regulations; drafting agreements, disclosures, account documentation and website materials; and drafting written instructions for programmers and technology staff to respond to new regulations or to launch new business lines.
A minimum of 6 years of relevant regulatory experience post law school at either a law firm, regulatory agency (financial services), exchange or broker-dealer is a must. The ideal candidate must have extensive experience with SEC, FINRA, CFTC, NFA and other regulatory authorities. The ability to work in a small-team environment, to work independently and to multi-task with minimal supervision is required as are stellar academic credentials, and computer and technology skills accompanied by knowledge of how technology is applied to regulatory and business problems. Must be a member in good standing of any U.S. state bar or the District of Columbia.
If you are qualified for this In-House Attorney job in Washington, D.C, then please send your resume to email@example.com. This in house job will be filled quickly, so don't hesitate to submit!
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