Senior Counsel, Regulatory Attorney

Regulatory Legal Opportunity in Financial Services

Senior Counsel, Regulatory Attorney


Location:          20 E. Thomas Road Phoenix, AZ  85012

Summary:

We currently have an opening for an experienced regulatory and business attorney.   This position will report directly to the Associate General Counsel and will be responsible for providing regulatory and business legal advice relating to broker-dealers and dual registrants.  Individuals serving in this position will work closely with senior management on business initiatives and provide legal support on regulatory matters and examinations.   

The preferred location for this candidate is our Phoenix, Arizona headquarters but we are also willing to consider candidates who could work out of our Atlanta, Minneapolis, New Jersey, Omaha or Tampa office locations.      

Responsibilities:

  • Advise on securities laws, most particularly relating to broker-dealers;
  • Familiarity with Reg BI and FINRA Rules and their applications to broker-dealers;
  • Draft and review responses to regulatory examinations;
  • Legal review of disclosure documents, sales and marketing materials;
  • Draft and/or review supervisory procedures and compliance policies and procedures;
  • 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 is required. 
  • Must be a member in good standing with the State Bar of Arizona, or another jurisdiction and be eligible to register as in-house counsel in another jurisdiction.

Basic Requirements:

  • At least ten (10) 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 is a requirement.

Preferred Requirements:

  • Experience such as with mergers and acquisitions or familiarity with ERISA is not required but is desirable
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At Advisor Group, we support more than 11,000 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.

Equal Opportunity Employer

Advisor Group is an equal opportunity employer. We celebrate diversity in our workplace and we hire the most qualified candidates without regard for age, ethnicity, gender, gender identity or expression, language differences, nationality or national origin, family or marital status, physical, mental, and developmental abilities (or the perception of a disability), genetic information, race, religion or belief, sexual orientation, skin color, social or economic class, education, work and behavioral styles, political affiliation, military service, caste, or any other characteristic protected by law.

Eligibility

Applicants for employment in the US must have valid work authorization that does not now and/or will not in the future require sponsorship of a visa for employment authorization in the US by Advisor Group.

Unqualified Applications

Advisor Group does not consider applications from candidates who do not meet the minimum qualifications stated in the job posting.

Recruiting Agencies

Advisor Group only accepts candidates from contracted recruiting firms and only for searches approved prior to submissions. Fees will not be paid for unsolicited submissions.