Description:
About This Position:This Assistant General Counsel reviews, interprets, and investigates allegations of registered representative misconduct (i.e. violations of Firm policies, securities rules and laws).
The estimated salary range for this position is 90K-97K.
Responsibilities & Qualifications
The
Assistant General Counsel analyzes information obtained during
investigation and prepares written and oral recommendations to
management for resolution, and/or disciplinary action and communicates
the resolution to the representative and supervisor. The attorney
provides training to registered representatives on securities policies
and rules and works with sensitive issues and maintains confidentiality
at all times.Knowledge, Skills and Abilities:
- J.D. degree and member of any US bar
- Series 7 and 24, or 6 and 26 licenses (or sign a learning agreement in order to obtain)
- Excellent written and verbal communication skills and presentation skills
- Excellent organizational and analytical skills
- High level efficiency and multi-tasking skills
- Strong research and analytical skills
- Strong problem solving skills
- Ability to determine violations in company policy and regulatory rules
- Ability to effectively deliver difficult messages
- Ability to work under deadlines
- Flexibility to handle multiple and changing priorities
- Excellent PowerPoint, Word, and Excel skills
FLSA Status:
This position is exempt (not eligible for overtime pay):
- Yes
