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 Fast Growing Midwest Broker-Dealer and Investment Advisor Looking for VP/ General Counsel

Details
Country: USA
Location: NE Midwest
Total applied: 8

Job Type: Employee
Job Status: Full Time

Fast Growing Midwest Broker-Dealer and Investment Advisor Looking for VP/ General Counsel

Our client, a dynamic and  exciting, Heartland (Midwest) based broker-dealer and investment advisor is seeking an experienced hands-on securities attorney to assume the role of Vice President and General Counsel.  The company is experiencing unprecedented growth and is on target to exceed all their goals.

Vice President and General Counsel

Position Overview


This executive level position will direct and provide legal counsel for the company and its operating subsidiaries. 

 

Responsibilities:
support the business objectives and goals of the company
direct and manage the legal department and staff
participate in business negotiations such as acquisitions, joint ventures, etc
supervise litigation and arbitration proceedings
preparie legal opinions and memoranda
develop and implement  policies and procedures in response to federal and state
regulations
provide legal advice to the officers and directors of the company in their corporate capacities



The company is looking for an attorney with a broad background and experience in the operations and products of a securities centered business.

-- NASD Series 7 and 24 licenses are required within 6 months of hire.
-- 5+ years of securities industry experience

The company is offering a competitive compensation package, including bonus opportunity.  A relocation package will be provided.

Interested parties should submit a resume in word format to

- Apply for Fast Growing Midwest Broker-Dealer and Investment Advisor Looking for VP/ General Counsel

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