Senior Securities Counsel & Compliance Leader

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.

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

Job description

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.