Qualifications:
· JD and current standing in the bar
· At least five (5) years of in-depth experience on broker dealer legal issues
· Significant in-house, regulatory or law firm experience is preferred
· Strong substantive background on key financial product legal issues including retirement plans, cash management programs, advertising review.
· Strong writing and communication capabilities
· Strong analytical and organizational issues
· Highly committed to technical and innovative excellence - willing and able to go the extra mile to "wow" colleagues, consultants, and clients.
· Ability to multi-task in a quick paced environment
· Ability to recommend and make decisions regarding daily broker dealer activities
· Ability to function as part of a team in achieving company goals
To apply please submit your resume to James DeFranco at James@ComplianceSearch.com
