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Assistant General Counsel


Pay$174000.00 - $236000.00 / year
LocationDes Moines/Iowa
Employment typeFull-Time

This job is now closed

  • Job Description

      Req#: 45576
      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

      #FinancialServices #LegalJobs #RegulatoryCompliance #CareerOpportunity #HybridWork

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  • About the company

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