Vice President, Broker-Dealer Counsel

Rockville, Maryland, United States · Legal

Description

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.

Essential Functions


Knowledge, Skills and Abilities

Requirements

Benefits

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.

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