Assistant General Counsel, Regulatory

The Assistant General Counsel, Regulatory will render senior-level legal advice and support in connection with the complete life cycle of the adoption of new regulatory initiatives, and serve as subject matter resource in one or more areas of legal expertise, including with respect to arbitration and mediation.

Requirements

• A law degree and appropriately licensed to practice law in all applicable jurisdictions based on the relevant licensing requirements.
• A minimum of eight years of directly related legal experience.
• Advanced knowledge of laws, rules, and regulations governing the securities industry.
• Strong organizational skills.
• Excellent oral and written communication skills.
• Excellent judgment, analytical, and interpersonal skills.

Benefits

• Comprehensive health, dental and vision insurance
• Additional insurance includes basic life, accidental death and dismemberment, supplemental life, spouse/domestic partner and dependent life, and spouse/domestic partner and dependent accidental death and dismemberment, short- and long-term disability, long-term care, business travel accident, disability and legal.
• 401(k) plan with company match
• Eligibility for participation in an additional FINRA-funded retirement contribution
• Tuition reimbursement
• Commuter benefits
• Adoption assistance
• Backup family care
• Surrogacy benefits
• Employee assistance
• Wellness programs
• Generous time-off program of 15 days of paid time off, 5 personal days and 9 sick days
• Two volunteer service days (based on full-time schedule)
• Nine paid holidays