Corporate Securities Officer and General Counsel

Yrefy, LLC; Phoenix (AZ); On-site; USD 130,000 - 190,000; Full time

Benefits offered by this job

100% employer-paid medical for families

Tuition reimbursement

Collaborative culture

Generous benefits

Job summary

A leading financial services firm in Phoenix, Arizona is seeking a Corporate Securities Officer and General Counsel to ensure compliance with investment regulations. You will oversee securities compliance, assist with legal documents, and conduct training on regulatory changes. Ideal candidates should have experience in securities law and financial regulations, along with strong organizational skills. The role offers benefits such as 100% employer-paid medical for families and tuition reimbursement.

Qualifications

• Thorough knowledge of industry standards, laws, and regulations.
• Demonstrable experience in securities, ideally with expertise in Regulation D.
• Familiarity with developing and executing securities management techniques.

Responsibilities

• Oversee securities compliance with laws and regulations.
• Develop investor training and ensure compliance with laws.
• Conduct regular investor call audits.
• Communicate with executives and employees to ensure regulatory compliance.
• Attend conferences and training to keep licenses current.
• Assist in investor training and compliance program development.

Skills

Knowledge of industry standards

Experience in securities and corporate law

Knowledge of financial crime regulations

Securities management techniques

Conducting audits and investigations

Proficient in Microsoft Office Suite

Audits & investigations

Microsoft Office

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