H1: AVP, Associate General Counsel - **MEMBERS ONLY**SIGN UP NOW***.
H2: Join a Dynamic Team at **MEMBERS ONLY**SIGN UP NOW***.
Summary:
- **MEMBERS ONLY**SIGN UP NOW***. is seeking an Assistant Vice President, Associate General Counsel to join their Early Dispute Resolution group.
- The role will involve responding to investor complaints, regulatory inquiries, and defending the firm and its advisors in litigation.
- The successful candidate will have a business-oriented approach and the ability to handle a variety of cases and matters within litigation.
- Requirements include a Juris Doctor degree and 5+ years of experience in the securities industry.
- The ideal candidate will possess superior judgment, knowledge of brokerage regulations, and excellent negotiation skills.
- The pay range for this position is $128, - $214,, with additional competitive benefits offered.
- **MEMBERS ONLY**SIGN UP NOW***. is dedicated to workplace equality and social responsibility.
- Interviews will only be conducted through an email address and no payment or personal information will be requested during the process.
Job Title: AVP, Associate General Counsel
Company: **MEMBERS ONLY**SIGN UP NOW***.
Department: Early Dispute Resolution Group
Location: Fort Mill/Charlotte, NC or Boston, MA
Type: Full time
Salary: $128, - $214,
Experience: 5+ years in securities industry
Responsibilities:
- Respond to investor complaints, regulatory inquiries, and defend the firm and its advisors in litigation
- Evaluate and escalate risk to senior management
- Collaborate with compliance, legal, and risk partners
- Handle client contact in a professional and confidential manner
- Ability to handle other assignments and cases within litigation
Requirements:
- Juris Doctor degree
- Admission in good standing to a State Bar
- 5+ years' experience in securities industry
- Knowledge of brokerage regulations and compliance
- Interpersonal skills and ability to interact with senior management
- Excellent negotiation, research, writing, and organizational skills
Core Competencies:
- Superior judgment and aptitude for evaluating and addressing investor complaints
- Understanding of FINRA regulatory reporting requirements
- Ability to work independently while managing a significant case load
Preferences:
- Experience with multiple investment products and asset types
At **MEMBERS ONLY**SIGN UP NOW***., we believe that objective financial guidance is a fundamental need for everyone. As the nation's leading independent broker-dealer, we offer an integrated platform of proprietary technology, brokerage, and investment advisor services. We provide a supportive and responsive leadership team, a creative work environment, and endless opportunities for growth and success.
Join our team and help us make a difference in turning life's aspirations into financial realities. Apply now!
SEO Title: AVP, Associate General Counsel - **MEMBERS ONLY**SIGN UP NOW***.: Join a Dynamic Team!
SEO Description: **MEMBERS ONLY**SIGN UP NOW***. is seeking an AVP, Associate General Counsel to join their Early Dispute Resolution Group. This role involves responding to investor complaints and defending the firm in litigation. Requirements include a Juris Doctor degree and 5+ years of experience in the securities industry. Join our team and make a difference!
