This position is directly responsible for managing regulatory affairs across all major business segments, including inquiries, investigations and examinations involving both state and federal regulators, including the Securities & Exchange Commission and the Financial Industry Regulatory Authority, with whom this position will interact on a daily basis. Major business segments include retail investment adviser and broker-dealer, asset management, and insurance.


Position provides strategic legal advice on regulatory and legal matters, and proactive risk management, which includes ensuring that regulatory and legal requirements are met, that the interests of the enterprise are appropriately safeguarded, that emerging regulations governing business areas are top of mind, and that recommendations are made to ensure compliance.

Position provides effective leadership to attorneys, paralegals, and other team members through coaching, feedback, and employee development to ensure optimal contribution to organizational success. This position is also expected to contribute to departmental and cross-organizational initiatives.

This position will interact with regulators, internal legal and compliance colleagues, business partners, and financial advisors and their leaders in the field, on both externally-driven matters as well as internal investigations. This position is expected to establish and maintain a network of relationships with counterparts in the industry.

Required Qualifications

  • Juris Doctorate
  • 10+ years of relevant experience
  • Technical subject matter expertise in areas relevant to lines of business supported, including strong knowledge of financial services industry, broker-dealer and investment adviser regulatory requirements, insurance regulatory requirements, compliance policies and procedures, and risk management practices.
  • Excellent written and verbal communication skills, including strong ability to advocate in writing and orally, and ability to deliver clear legal advice to wide variety of audiences
  • Ability to perform legal research
  • Skilled in negotiation, conflict resolution, and witness advocacy including representation during testimony
  • Strategic thinker, detail-oriented and meticulous with an aptitude for analysis, investigation and problem solving
  • Ability to plan and manage multiple and competing priorities in a highly dynamic environment
  • Excellent interpersonal skills, including the ability to establish strong relationships internally and externally
  • Energetic, service-oriented individual with a positive attitude
  • Experience leading a team
  • Ability to motivate and inspire others

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