Employer Industry: Financial Services

Why consider this job opportunity:
- Salary up to $236,000 per year
- Opportunity to participate in a bonus program based on performance
- Flexible Time Off (FTO) policy allowing for paid time away from the office
- Pension eligibility and comprehensive benefits to support employee well-being
- Hybrid and remote work arrangements available based on location
- Work in a collaborative environment with a focus on legal and regulatory compliance

What to Expect (Job Responsibilities):
- Lead internal coordination for all retail regulatory examinations and investigations by regulatory bodies such as the SEC and FINRA
- Provide legal advice on the offering and sale of securities and financial products to retail and retirement customers
- Support the compliance, operations, and risk assessment teams with day-to-day legal guidance
- Collaborate with product lines and distribution channels to ensure compliance with evolving regulatory requirements
- Work closely with litigation teams on civil litigation and arbitration matters involving the employer

What is Required (Qualifications):
- JD with 10+ years of experience as an attorney with securities regulatory experience
- Admission to practice in the state employed within twelve months of hire
- In-depth knowledge of relevant securities law and its application
- Ability to work independently and as part of a team
- Superior written and verbal communication skills

How to Stand Out (Preferred Qualifications):
- Informal leadership experience within legal or compliance teams
- Experience in the financial services industry, particularly with investment products

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