Broker-Dealer & Advisory Counsel, TX or CA# BD686

posted on: 6 Nov 2018


Description: Broker-dealer and Advisory Attorney for a major financial services company in Texas! Possibly California.   

  • Our client distributes variable annuities and mutual funds to retirement funds; 1000+ reps on staff. This role involves operations, regulatory and compliance.  
  • 5+ years of strong broker-dealer experience preferred. Advisory and regulatory background a plus.  
  • High visibility role in a small group, be #2 of 3. Competitive compensation. Nice boss. Promotion Potential. Paid relocation.   

  • Work on all aspects of legal support of the Group Retirement business-Broker-dealer and Investment Advisory are the key areas.  
  • Will be responsible for legal support of Group Retirementís registered products, distribution-related matters, contract matters, regulatory examinations, and multiple strategic projects. Report directly to the AGC-Group Retirement. 
  • Provide strategic legal advice and transaction support on a wide variety of broker-dealer and investment advisory issues. 
  • Proactive risk management-ensuring that regulatory and legal requirements are met, the interests of the firm are appropriately safeguarded, emerging regulations governing business areas are top of mind, and that recommendations are made to ensure compliance. 
  • Make recommendations for decision-making and for courses of action that comply with both company and industry practices, while outlining trade-off of business and legal risk. 
  • Assist in the review and consideration of new products, programs and services offered by the broker-dealer and investment advisory businesses. 
  • Assist in the management of the firmís regulatory inquiries and investigations. 
  • Review vendor, product sponsor and client agreements; review of disclosure documents, sales and marketing materials; draft and/or review supervisory procedures and compliance policies and procedures.
  • 5+ years of relevant experience at a law firm, in-house or SEC-Trading+Markets (Broker-dealer.)  
  • Strong knowledge of federal securities laws, rules and regulations governing broker-dealers and investment advisers.  
  • Experience handing regulatory examinations, investigations and complaints.

For consideration by Andrea Steiner & Joel Berger, for this and other Meridian opportunities, please send your resume in confidence to: asteiner[at]




Type: Attorney- In-House
Level: Counsel
Practice: Securities / Funds
Compensation: unspecified
State: Texas City:
Telephone: Email:
Recruiter Name: Andrea Steiner