Counsel - Broker-Dealer (State Licensed)

A company is looking for a Counsel - Advisory & Broker-Dealer.Key ResponsibilitiesAdvise on legal matters related to the Investment Advisers Act of 1940 and the Securities Exchange Act of 1934Monitor and analyze new state and federal regulations affecting the broker-dealer and investment advisory businessProvide legal counsel on corporate governance and assist with regulatory inquiries from agencies like FINRA and SECRequired QualificationsJuris Doctor / Law Degree from an accredited law schoolCurrent admission to at least one state bar and a license to practice law in the United States2 or more years of relevant legal experienceIn-house experience at a broker-dealer firm or financial services company is preferredFamiliarity with the Advisers Act, Exchange Act, and / or FINRA rules is a plus