Corporate Securities & Compliance Counsel

Yrefy, LLC; Phoenix (AZ); On-site; USD 180,000 - 260,000; Full time

Benefits offered by this job

Employer-paid medical for families

Tuition reimbursement

Collaborative culture

Generous benefits

Job summary

Yrefy, LLC is seeking a Corporate Securities Officer and General Counsel to oversee securities compliance with applicable laws and regulations. The role coordinates with the Managing Partners to identify risks, implement compliant policies, and monitor adherence across the organization.

This position includes oversight of registered reps at the branch location and drafting of PPMs and other corporate documents.

Qualifications

• Thorough knowledge of the industry standards, laws, and regulations.
• Experience in securities, ideally with expertise in Regulation D, and general corporate law.
• Knowledge of financial crime and anti-money laundering regulations.
• Familiarity with developing and executing securities management techniques.
• Experience in conducting audits and investigations and providing relevant strategies.
• Proficient in Microsoft Office Suite.

Responsibilities

• Oversee securities compliance with local, state, and federal laws and regulations.
• Coordinate with Managing Partners to identify risks and implement compliant policies.
• Monitor adherence to policies and procedures across the organization.
• Work with Broker-Dealer to ensure regulatory compliance and supervise registered reps (as needed).
• Assist with drafting and reviewing legal documents from PPMs to corporate docs.
• Develop investor training and policies with Compliance and Trainers to ensure alignment and execution.
• Communicate with partners and executives to ensure compliance with laws.
• Stay updated on changing regulations and implement necessary changes.
• Attend conferences and training to maintain licenses.

Skills

Securities law

Regulation D

Corporate law

AML regulations

Audits & investigations

Microsoft Office

Regulatory compliance

Policy development

Tools

Microsoft Office Suite

Job description

Yrefy, LLC is seeking a Corporate Securities Officer and General Counsel to oversee securities compliance with applicable laws and regulations. The role coordinates with the Managing Partners to identify risks, implement compliant policies, and monitor adherence across the organization.

This position includes oversight of registered reps at the branch location and drafting of PPMs and other corporate documents.