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In-House Legal Counsel

Securities America, Inc. La Vista, NE

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



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 ...