Securities Regulatory Counsel
Company: VirtualVocations
Location: Raleigh
Posted on: February 4, 2025
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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
Click
here to apply!
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