COR Clearing, LLC is a national securities broker-dealer with self-clearing operations headquartered in Omaha, NE.
- 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.
- 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.
|Date Posted||August 31, 2017|
|Date Closes||September 30, 2017|
|Address||1299 Farnam Street|
|Located In||Omaha, NE|
|Work At||The Landmark Center|
|Job Type||Full-time Employee|
|Compensation||Salary, Executive compensation|
|Experience Level||Intermediate (3-7 yrs. experience)|
|SOC Category||23-1011.00 Lawyers|
|Address||1299 Farnam Street, Suite 800|
|City, State and Zip||Omaha, NE 68102|
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