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Corporate Services Senior Counsel

COR Clearing LLC Omaha, NE
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Job Description

COR Clearing, LLC is a national securities broker-dealer with self-clearing operations headquartered in Omaha, NE.

Basic Functions:

- Serve as senior legal advisor on issues relating to unregistered and restricted securities.

- Complete legal enhanced due diligence reviews of deposits of unregistered and restricted securities and determine which unregistered shares are exempt from registration.

- Review and advise on DTCC eligibility sponsorship applications.

- Identify suspicious activity associated with attempted deposits and report facts and circumstances to AML.

- Recommend and implement approved policies and procedures related to the Firm’s acceptance of securities deposits and customer resales of the deposited shares.

- Be knowledgeable of legal and regulatory enforcements for the resale of unregistered securities and conduct analysis to identify potential enhancements in Firm’s review procedures.

- Know and understand interpretations and application of laws, regulations and rules with respect to the deposit and resale of unregistered securities.

- Understanding of the securities markets.

- Complete shell analysis of issuers whose shares a customer wants to deposit.

Qualifications/Requirements:

- Knowledgeable of the Securities Act of 1933 and the Securities Exchange Act in addition to related SEC regulations and FINRA rules.

- Five to seven years’ experience in securities law whether in private practice, in-house counsel, or with a regulatory authority.

- Licensed to practice law.

- Graduate of an ABA approved law school.

Job Details

Date Posted August 31, 2017
Date Closes September 30, 2017
Address 1299 Farnam Street
Located In Omaha, NE
Work At The Landmark Center
Department Legal
Job Type Full-time Employee
Compensation Salary, Executive compensation
Experience Level Intermediate (3-7 yrs. experience)
Start Date Immediately
Positions Available 1
SOC Category 23-1011.00 Lawyers
Zipcode 68102
Name Christine Hansen
Address 1299 Farnam Street, Suite 800
City, State and Zip Omaha, NE 68102
Phone (402) 384-6104
FAX (402) 384-6125

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
  • Professional Liability
  • Short-Term Disability
  • Supplemental Insurance
  • Vision
  • Voluntary Life Insurance
  • Continuing Education Program
  • Employee Referral Program
  • Free Parking
  • Paid Holidays
  • Paid Vacations
  • Sick Leave
  • Unpaid Leaves of Absence
  • Bonus Plan

This job requires the following skills

  • Business - Communication
  • Business - Concepts
  • Risk Management
  • Compliance
  • Due Diligence
  • Finance Management
  • Fraud Investigations
  • Fraud Prevention
  • Regulatory Compliance
  • Attorney
  • Correspondence Drafting
  • Legal - Compliance

Course(s) relevant to the skills listed for this position

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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