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Securities Regulatory Counsel

Company: VirtualVocations
Location: Raleigh
Posted on: February 4, 2025

Job Description:

A company is looking for a Senior Counsel - Broker/Dealer & Investment Advisor.



Key Responsibilities:

Provide legal and regulatory advice related to securities products and investment advisory services
Draft regulatory responses, disclosures, and manage complex legal issues
Coordinate with stakeholders to ensure compliance with applicable laws and regulations



Required Qualifications:

JD from an ABA accredited law school
Member of the Bar in good standing of any US State
5+ years of senior-level experience in securities regulatory legal matters
Knowledge of state and federal securities laws and regulations
Prior experience with state insurance laws and regulations

Keywords: VirtualVocations, Raleigh , Securities Regulatory Counsel, Legal , Raleigh, North Carolina

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