Vice President, Broker-Dealer Counsel
H. Beck Inc., located in Rockville, Maryland is looking for a VP, Broker-Dealer Counsel.
Summary: Provide general legal support and counsel to a fast-paced Broker-Dealer and Registered Investment Adviser. Perform legal work focused on SEC and FINRA regulatory matters, independent advisor business, company governance and a variety of contract negotiations and privacy responsibilities.
- Providing legal advice and support in connection with the running of a broker-dealer and registered investment adviser
- Providing legal advice and review to the compliance and operational staff on regulatory and compliance matters, including the preparation or review of written submissions by the firm in connection with regulatory examinations and inquiries.
- Partner with management and business units with respect to legal issues, as assigned
- Review of various contracts and legal agreements for protecting the firm’s interests
- Handling of Firm’s privacy responsibilities.
- Coordinating litigation efforts for firm and Registered Representative litigation matters, including preparing and drafting communications and gathering of critical documentation
- Other legal services as may be assigned from time-to-time as required to support the business
Knowledge, Skills and Abilities
- 5+ years legal experience handling broker-dealer and/or registered investment advisor matters.
- Experience working within or with a regulatory agency preferred.
- Clear and concise oral and written communication skills
- Strong interpersonal skills to influence and impact business decisions.
- Knowledge of FINRA, SEC and state securities laws
- Expert judgment and decision making skills
- Ability to work in a fast-paced, dynamic environment that requires hands-on support and business teamwork.
- Ability to work in a matrix reporting relationship
- Juris Doctorate degree
- Ability to practice law in Maryland
- Prior experience within broker-dealer or regulatory agency
The Company has a highly competitive benefits package including medical, dental, and vision insurance, health care and dependent care flexible spending accounts, a health savings account, short and long term disability, life insurance, 401(k), and paid time off, subject to the terms and availability of such benefits.