Regulatory and Litigation Counsel


Office: Remote


  • Handle regulatory matters involving the SEC, FINRA, and other governmental and self-regulatory organizations
  • Personally handle or work as co-counsel representing the firm in FINRA arbitrations and FINRA and SEC enforcement proceedings
  • Provide effective oversight and management of outside counsel on litigation and regulatory enforcement cases
  • Work collaboratively and effectively with the Compliance Department and other members of the Legal Department to ensure a positive relationship with firm regulators
  • Provide advice and counsel on legal cases and compliance/regulatory matters
  • Communicate efficiently with both management and fellow members of the legal team
  • Oversee paralegals in responding to subpoenas and other document requests
  • Support the Firm’s employment activities and play a role in ensuring the company’s compliance with U.S. laws
  • Collaborate with other attorneys, with respect to advice and counseling provided to HR and other cross-functional partners
  • Perform other tasks and duties as required and assigned
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