We are seeking a Securities Compliance Attorney to join our legal team. The ideal candidate will have a strong background in corporate contracts and agreements, as well as experience with corporate litigation. Experience with corporate acquisitions is highly preferred. Prior experience with securities is preferred, however we are willing to train and develop within the role. The successful candidate will be responsible for ensuring compliance with securities laws and regulations, and will work closely with our business teams to provide guidance on legal issues related to securities. We are looking for an attorney with a minimum of 5 years of experience in securities compliance or related field. Experience in securities is preferred, but we are also open to accepting applications from experienced attorneys who are willing to professionally develop in this area. If you are a proactive and results-driven attorney, with a passion for providing strategic legal guidance, we encourage you to apply. This is an excellent opportunity to join a growing company and make a significant impact on our legal and compliance efforts. Securities Compliance Attorney Responsibilities * Overseeing new client accounts for compliance with firm policy and procedures * Maintaining and updating client related data through the firm CRM * Conducting yearly audit reviews of existing client files to ensure completeness and accuracy * Working with inside and outside investment advisor representatives to ensure compliance with the firms written supervisory procedures * Coordinating with outside compliance consultants to establish and enforce compliance with firm written supervisory procedures * To assist in the onboarding of new investment advisor representatives * Maintaining and organizing a firm calendar to ensure compliance with monthly, quarterly and annual required processes and/or events * Conducting yearly testing and audits of policy and procedures * Implementing new policies per government regulations * Other miscellaneous administrative duties and responsibilities, as needed Securities Compliance Attorney Requirements * Juris Doctor Degree (and Bar admission) * Experience in the securities industry considered a plus * Experience in related compliance industry considered a plus * Strong administrative and organizational skills * Attention to detail with an "eagle eye" for catching omissions and errors * Good interpersonal and digital communication skills * Ability to work independently or as part of a team Securities Compliance Attorney Benefits * Office hours are Monday - Friday, from 8:00am - 4:30pm. * Weekly payroll * Personal and Vacation Time Off (PTO) * Holiday Pay * Major Medical * Dental * Vision * 401k with company match * Life Insurance * Employee Profit Participation Plan * Competitive and negotiable compensation UF Resources is a privately held, technology-driven financial services company with an A+ BBB rating marketing company, operating for over 40 years. With a constant focus on innovation, UF Resources employs a dynamic team of competent professionals to help American consumers achieve a wide variety of financial planning objectives. UF Resources makes significant investments in information technology to support our highly collaborative marketing, sales, consulting, publishing, and multimedia operations on a national scale. Our diverse workforce utilizes the latest technologies, tools, and processes to respond to change and rapidly adapt to a variety of competitive enterprises. Our fast-paced, professional environment fosters the development of our employees to their full potential. When our employees grow and succeed, our business will continue to grow and succeed. Company Description United Advisors America is a Registered Investment Advisor.
United Advisors America is a Registered Investment Advisor.