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In-House Legal Counsel

Securities America, Inc. La Vista, NE
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Job Description

The primary responsibility for this position is to provide leadership and management to Securities America’s Client and Regulatory Inquiries Group (CRIG). 

 

Position Duties/Tasks:

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

  • Leading CRIG Analysts
  • Performing lead functions on critical and complex regulatory inquiries
  • Formulating, communicating, and implementing policies, procedures and systems to efficiently, effectively provide CRIG-related services to Securities America’s representatives
  • Providing regular communications, updates, and recommendations to firm management regarding regulatory inquiries, customer complaints, or arbitration cases
  • Conducting research and writing responses to customer complaints and regulatory inquiries
  • Managing regulatory filings related to complaints, arbitrations, litigations, and regulatory and disciplinary matters
  • Reviewing statuses of CRIG team members’ activities, including creating reporting to track work assignments and deadlines
  • Providing direction to CRIG team members, including reviewing written responses prior to them being sent to regulators and customers
  • Serving as a subject matter expert on rules, regulations and procedures for client complaints and regulatory inquiries
  • Preparing reports to facilitate trend analysis and other management reporting
  • Handling other matters as assigned by the Securities America’s General Counsel or Chief Compliance Officer

 

 

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 management 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 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

 

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Job Details

Date Posted November 14, 2019
Date Closes December 14, 2019
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 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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