Senior Corporate Counsel
Senior Corporate Counsel reporting to Deputy GC, owning corporate governance, securities, equity compensation, AI regulatory work, and M&A support. Requires JD, active bar, and 6+ years of corporate legal experience.
Senior Regional Compliance Associate
Serves as day-to-day compliance resource for regional advisors, reviewing trades, correspondence, marketing, and activities while providing guidance and supporting audits. Requires 5+ years compliance/supervisory experience, Series 66/24 licenses, and FINRA/SEC knowledge.
Irving, TXLegalHybrid5+ YOE
About the role
Responsibilities
- Serve as the primary compliance resource for assigned region, supporting advisors and partnering with business leadership on supervisory matters
- Conduct regular reviews of trade blotters, correspondence, marketing materials, and attestations
- Review and approve outside business activities, brokerage accounts, gifts, and entertainment for registered personnel
- Provide guidance, training, and direction on compliance-related matters to advisors
- Investigate, document, and help resolve client complaints
- Support regulatory examinations, internal audits, and ongoing Compliance initiatives
- Produce regular supervisory reports and close feedback loop with advisors
- Partner with Managing Directors on advisor coaching opportunities tied to compliance standards
Requirements
- 5+ years of financial services experience in a compliance or supervisory role, with demonstrated experience conducting principal-level or OSJ supervisory review
- Active Series 66 and Series 24 in good standing
- Comprehensive knowledge of FINRA and SEC rules and regulations
- High attention to detail, sound judgment, and integrity
- Bachelor's degree or higher
Nice-to-Haves
- Series 7 and Series 9/10 previously held or currently active
- Experience supporting regulatory examinations or internal audits at an RIA or broker-dealer
- Familiarity with compliance technology platforms and surveillance tools
- Background in a regulated financial services environment with OSJ or branch examination experience
- Track record working with distributed or remote advisor teams
Compensation & Benefits
- Competitive comp package that rewards impact
- Full health benefits + 401(k) matching & Roth IRA options
- Unlimited PTO
Skills
FinraSecSeries 66Series 24Series 7Series 9/10Osj Supervisory ReviewCompliance TechnologySurveillance ToolsTrade Blotters
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