Corporate Securities Officer and General 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

Corporate Securities Officer and General Counsel

Job Title: Corporate Securities Officer and General Counsel

Reports to: Chief Investment Officer and Managing Partner

Status: Full-time/Exempt

Department: Administration

Yrefy is a privately held company focused on student loan refinancing and alternative investments. We are seeking a Corporate Securities Officer and General Counsel to help ensure our investment offerings remain compliant with applicable laws and regulations. This role will help Yrefy continue to provide a secure and compliant investment vehicle for accredited investors. If you are passionate about helping people, and you thrive in a dynamic, growing environment, we invite you to consider joining our team! We take care of our employees with 100% employer-paid medical for families, tuition reimbursement, a collaborative culture, and generous benefits.

Job Summary:

The Corporate Securities Officer and General Counsel will oversee securities compliance with local, state, and federal laws and regulations. This position will coordinate with the Managing Partners to identify potential risks, implement policies and procedures to uphold laws and regulations, and monitor the company’s adherence to those policies and procedures. Works with the Broker-Dealer to ensure compliance with rules and regulations and oversees, in the capacity of a Series 24 licensee, the registered reps at the branch location. Assists with the drafting and reviewing of legal documents ranging from the PPM to other securities and general corporate documents.

Supervisory Responsibilities:

As required by the Series 24 licensure of internal sales representatives.

Duties/Responsibilities:

• Assists in developing investor training and policies, and works with Compliance, Broker- Dealer, and trainers to implement strategies to ensure that they are coordinated and followed.
• Ensure the organization has clearly defined parameters for complying with local, state, and federal laws, emphasizing securities guidelines specified by the SEC and FINRA.
• Assists in conducting regular scheduled investor call audits to identify potential weaknesses and noncompliance situations.
• Reports to management with any compliance concerns within industry laws and regulations and provides solutions to remedy.
• Assists in reviewing Yrefy, LLC and related entity contracts and operating agreements as requested.
• Communicates with the managing partners, executive team, and employees as needed to ensure what needs to be done to comply with internal and external laws and regulations.
• Keeps the company updated with any changing regulations and assists in implementing those changes as they arise.
• Attends conferences as needed.
• Attends all meetings and training courses as required to keep licenses current.
• Performs other related duties as assigned.

Required Skills/Abilities:

• Thorough knowledge of the industry standards, laws, and regulations.
• Demonstrable 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