GC , Broker Dealer

  • Location

    District of Columbia, USA

  • Sector:

    Banking & Financial Services

  • Job type:

    Permanent

  • Salary:

    700,000 plus

  • Contact:

    Maria Talebian

  • Contact email:

    mariatalebian@taylorroot.com

  • Job ref:

    GC Role_1555607242

  • Published:

    about 1 month ago

  • Expiry date:

    2019-04-17

  • Startdate:

    01/05/2019

  • Consultant:

    #

  • Helping the Firm continue to build a responsive, full-service Legal Department in response to rapid growth in the Firm's existing business and new business lines.
  • Handling regulatory inquiries from the SEC, FINRA, CFTC, NFA and other regulatory authorities.
  • Evaluating the legal and regulatory impact of new proposed business lines or offerings.
  • Identifying and designing necessary changes to the Firm's systems and procedures to address new rules and regulations.
  • Crafting written functional specifications or instructions for programmers and technology staff to respond to new regulations or to launch new business lines.
  • Drafting and reviewing agreements, disclosures, account documentation and website materials.
  • Working with the firm's Chief Litigation Counsel on staffing and strategy for responding to litigation and significant litigation matters.

The SR Group (US), Inc. is acting as an Employment Agency in relation to this vacancy.