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In-House Legal Counsel

Securities America, Inc. La Vista, NE
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Job Description

Position Overview:

The primary responsibility for this position is to provide general legal counsel to the firm. Duties include drafting and reviewing contracts and documents, providing advice and counsel regarding regulatory and litigation issues, researching and responding to internal and external client requests, providing advice and service regarding investment advisory business, providing legal counsel to project teams and internal committees, conducting legal research and performing special projects as requested by the Executive Vice President & General Counsel.

 

Position Requirements:

• Law degree with a license to practice in the State of Nebraska

• Ability to earn Series 7 and 24 industry licenses preferred

• Series 4, 53, 63 and 65/or 66, and Variable Life and Annuity industry licenses preferred 

• 3 + years previous securities experience preferred

• Previous compliance/regulatory experience in the securities, investment advisory or financial industry preferred

• Ability to analyze and assess risk factors and formulate appropriate action recommendations

• Ability to assume responsibility for complex legal projects and resolve them effectively with minimal supervision

• Ability to be at work on a regular and predictable basis

• Ability to communicate with co-workers, customers, and various business contacts in a courteous and professional manner

• Ability to investigate and resolve possible compliance violations and customer complaints through research, interviews, and analysis

• Ability to maintain confidentiality

• Ability to make rule-based and analytical decisions

• Ability to respond to high-priority matters with a sense of urgency, prioritize and handle multiple projects efficiently

• Knowledge of securities industry regulations, terminology, and practices

• Skill in operating various office equipment including personal computer, fax machine, copier, etc.

• Skill in utilizing various software packages such as Microsoft Office & Outlook

• Skills in verbal and written communication

 

Position Duties/Tasks:

This position is responsible for, but not limited to the following:

1. Provide general corporate legal advice, process complex legal matters and assist in managing legal business issues.

2. Provide legal research, analysis and recommendations regarding SAI and Registered Investment Advisors (RIA) advisory issues.  Implement appropriate actions based on investigative findings.

3. Draft and negotiate high-priority legal documents, review legal data and advise senior management on appropriate course of action.

4. Draft and assist in negotiating contractual terms and agreements with 3rd party partners including insurance companies, banking network, office leasing companies, etc.

5. Assist in developing compliance-related policies and audit procedures, and investigate compliance regulation breaches.

6. Conduct due diligence research and general legal research.

7. Formulate reports of research findings and provide other legal-related assistance to the Executive Vice President & General Counsel.

8. Create workflow sheets and prepare month end legal reports.

9. Execute special projects as assigned by the Executive Vice President & General Counsel.

10. Perform other duties as assigned.

 

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Job Details

Date Posted November 8, 2018
Date Closes December 8, 2018
Address 12325 Port Grace Boulevard
Located In La Vista, NE
Department Legal
Job Type Full-time Employee
Experience Level Intermediate (3-7 yrs. experience)
Start Date Immediately
Positions Available 1
SOC Category 23-1011.00 Lawyers
Zipcode 68128
Name Human Resources
Address 12325 Port Grace Boulevard
City, State and Zip LaVista, NE 68128
Phone 1-800-747-6111
FAX 402-384-7589

This job offers the following benefits

  • 401(k) Retirement Savings Plan
  • Dependent-Care Spending Accounts
  • Flexible Spending Accounts
  • Health-Care Spending Accounts
  • Accidental Death and Dismemberment
  • Dental
  • Dependent Life Insurance
  • Employee Assistance Program (EAP)
  • Life Insurance
  • Long-Term Disability
  • Maternity / Paternity / Family Leave
  • Medical
  • Prescription Drug Plan
  • Short-Term Disability
  • Vision
  • Voluntary Life Insurance
  • Bereavement Pay
  • Casual Dress
  • Continuing Education Program
  • Dry Cleaning / Laundry
  • Employee Referral Program
  • Fitness Classes
  • Free Parking
  • Health Fair
  • Holiday Party
  • Massage Therapy
  • Nursing Facilities
  • Paid Holidays
  • Paid Vacations
  • Tuition Reimbursement
  • Wellness Program
  • Bonus Plan
  • Merit Increases

This job requires the following skills

  • Financial Advisor

This job is related other jobs in these career categories

At a Glance
Enjoy these benefits
  • 401(k) Retirement Savings Plan
  • Dependent-Care Spending Accounts
  • Flexible Spending Accounts
  • Health-Care Spending Accounts
  • Accidental Death and Dismemberment
  • And More ...
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