Litigation and Regulatory Attorney

Be a part of the team behind our success!   At Advisor Group, we support more than 7,000 financial advisors, the people who help everyday Americans achieve their dreams We’re a billion-dollar business with the mentality and drive of a startup. Join us in building something special.

Regulatory Attorney Opportunity in Financial Services

Litigation Counsel

Location:       10 Exchange Place, Suite 1410, Jersey City, NJ  07302

                        20 E. Thomas Rd, Suite 2000, Phoenix, AZ  85012


At Advisor Group, we are driven to do more.  We are one of the largest networks of independent wealth management firms in the United States.  The four individual firms that comprise Advisor Group – FSC Securities Corporation, Royal Alliance Associates, SagePoint Financial, and Woodbury Financial Services foster the spirit of entrepreneurship and independence that our more than 7,000 advisors exemplify.  Our employees are the “how” and the “why” of Advisor Group’s success.  Advisor Group is seeking a driven and motivated individual to join our Legal Department

We are seeking an experienced litigation and regulatory attorney based at Advisor Group’s office in Jersey City, NJ.   This position will report directly to the Senior Counsel and will be responsible for handling regulatory and litigation matters involving Advisor Group’s broker-dealers and investment advisers.  The position will also provide legal support during regulatory examinations.  Individuals serving in this position will work closely with senior management on business initiatives.

Keys:    litigation, attorney, counsel, legal    


  • Handling of FINRA arbitration matters and regulatory inquiries and investigations in a “first-chair” capacity;
  • Advise on securities laws and regulations, most particularly relating to broker-dealers and investment advisers;
  • Supervising and assisting outside counsel retained by Advisor Group to handle regulatory and litigation matters;
  • Draft and review responses to regulatory examinations;
  • The attorney serving in this position will be part of a fast-paced, dynamic work-environment, requiring strong legal and analytical skills; a creative approach to problem solving; a demonstrated ability to multi-task and to work successfully on time-sensitive matters; the ability to work as part of a team collaborating with other counsel and business or compliance personnel.
  • All other duties as assigned

Education Requirements:

  • JD degree required.  Must be a member in good standing with the State Bar of New Jersey, or another jurisdiction and be eligible to register as in-house counsel in New Jersey.

Basic Requirements:

  • At least five (5) years of meaningful, “hands-on” experience at a major law firm, an in-house legal department, or a regulatory body, working for or interacting with regulators at the SEC, FINRA or other similar agencies. 
  • Familiarity with broker-dealers and registered investment advisers and the laws and rules that applies to these entities.