securities attorney

State of North Dakota

<div><p><b>Duties and Tasks
</b></p><p>The Attorney will collaborate with Department staff, criminal and civil investigators, and fellow attorneys to:</p><ul><li>
Prosecution &amp; Enforcement<ul><li>
Prepare criminal and civil cases for trial, appeal, and administrative hearings.</li><li>
Draft and present warrants, hold probable cause hearings, and advise law enforcement officers in investigations of insurance fraud, and fire-related crimes.</li><li>
Represent the Department and the State in civil and criminal court, administrative hearings, and appeals in a competent, effective, and ethical manner.</li><li>
Negotiate and settle civil and administrative complaints where appropriate.</li></ul></li><li>
Legal Counsel &amp; Research<ul><li>
Provide legal advice and opinions for the Commissioner, Deputy Commissioner, and other Department employees.</li><li>
Educate Department staff on the law concerning insurance fraud, securities enforcement, and the business of insurance.</li><li>
Draft legal documents including opinions, pleadings, motions, briefs, orders, search warrants, settlement agreements, legislation, and administrative rules.</li></ul></li><li>
Collaboration &amp; Outreach<ul><li>
Establish and maintain working relationships with judiciary, other attorneys, county officials, law enforcement, and regulatory partners.</li><li>
Coordinate cases with state's attorneys, other North Dakota agencies, federal agencies, and insurance fraud regulators in other states.</li><li>
Respond to legal and regulatory inquiries from legislators, legislative council, the insurance industry, and the public.</li><li>
Represent the Department during the regular and interim legislative sessions at hearings and committee meetings.</li><li>
Participate in national anti-fraud and insurance regulation committees, calls, and conferences (with potential travel).</li></ul></li><li>
Additional Duties<ul><li>
Assist with regulatory examinations of insurance companies.</li><li>
Stay current on state and federal insurance and securities law, regulations, and enforcement practices.</li><li>
Perform other duties as assigned by the Commissioner, Deputy Commissioner, or General Counsel.</li></ul></li></ul>
<p><b>Minimum Qualifications
</b></p><ul><li>Juris Doctor (JD) from an accredited law school.</li><li>
Licensed and in good standing to practice law in North Dakota (or eligible for admission by motion).</li><li>
Demonstrated ability to conduct investigations, prepare legal documents, and represent an organization in legal proceedings.</li></ul>
<p><b>Preferred Qualifications
</b></p><p>At least two (2) years of professional legal experience, preferably with an emphasis in administrative, regulatory, criminal, or civil litigation.</p>
<p><b>About Team ND
</b></p><p><i>&quot;Far and away the best prize life offers is the chance to work hard at work worth doing.&quot; - Theodore Roosevelt</i></p><p>
More than 7,500 talented, hard-working people across sixty-three agencies have come together as Team North Dakota. At Team ND, we are driven to succeed through gratitude, humility, curiosity and courage. Our purpose is to empower people, improve lives, and inspire success. Join us in being legendary.</p><p><b>
Total Rewards: </b>The State of North Dakota is committed to providing team members with a strong and competitive rewards package that support you, your health and your family.</p><p>
Considering a new position on Team ND? How does your current position stack up? Use our Total Rewards Calculator to estimate.</p>
<p><b>Application Procedures
</b></p><p>Applicants are screened based on qualifications, successful completion of the interview process and a background and criminal investigation. Applicants must be currently authorized to work in the United States on a full-time basis. <b>The Insurance and Securities Department does not provide sponsorships.</b></p><p>
Application package must be received by 11:59 PM Central Standard Time (CST) on the closing date listed on the opening.</p><p>
TO BE CONSIDERED FOR THIS POSITION APPLICATIONS MUST BE SUBMITTED ONLINE AT: www.nd.gov/careers with the following documents:</p><ul><li>
Resume</li><li>
Cover letter with a summary that clearly explains how the applicant's work experience is related to the summary of work and minimum/preferred qualifications.</li><li>
College Transcripts (copies or unofficial versions are acceptable for the initial application process but when the top candidate is given a conditional employment offer, they are required to present official transcripts)</li></ul><p>
Anyone needing assistance or accommodations during any part of the application or interview process please contact Rachel, E-mail: rkriege@nd.gov; phone: (701) 328-2931 or TTY: 1-800-366-6888.</p>
<p><b>Equal Employment Opportunity
</b></p><p>The State of North Dakota and this hiring agency do not discriminate on the basis of race, color, national origin, sex (including sexual orientation and gender identity), genetics, religion, age or disability in employment or the provisions of services and complies with the provisions of the North Dakota Human Rights Act.</p><p>
As an employer, the State of North Dakota prohibits smoking in all places of state employment in accordance with N.D.C.C. Sect. 23-12-10.</p></div>

Prosecutor Insurance and Securities Attorney

Artius Solutions

<div><b>Attorney Securities &amp; Regulatory Advisory</b>
<p><b>Location:</b> Flexible (Multiple U.S. Offices)<br>
<b>Experience Level:</b> 7 10 years<br>
<b>Employment Type:</b> Full-time</p>
<b>Overview</b>
<p>Seeking an experienced <b>Attorney</b> to advise on matters involving <b>federal securities laws, broker-dealer, and investment adviser compliance</b>. This role will focus on regulatory counseling and the development of investment structures, including technology and early-stage platforms.</p>
<b>Key Responsibilities</b>
<ul><li><p>Advise on status issues and opinions under the Investment Company Act.</p>
</li><li><p>Counsel clients on broker-dealer and investment adviser registration and compliance.</p>
</li><li><p>Draft opinions and advise on alternative investment platform setup.</p>
</li><li><p>Provide guidance on emerging technologies and digital assets.</p>
</li><li><p>Work collaboratively with business stakeholders on regulatory strategies.</p>
</li></ul><b>Qualifications</b>
<ul><li><p>Juris Doctor (JD) degree.</p>
</li><li><p>7 10 years of experience advising on securities and regulatory matters.</p>
</li><li><p>Strong understanding of broker-dealer and investment adviser laws.</p>
</li><li><p>Excellent academic credentials and communication skills.</p>
</li><li><p>Proven ability to manage complex matters independently.</p>
</li></ul><b>Preferred Experience</b>
<ul><li><p>Background in <b>finance law</b>, <b>blockchain</b>, or <b>digital assets</b>.</p>
</li><li><p>Prior experience working with technology-driven financial structures.</p>
</li></ul><b>Additional Details</b>
<ul><li><p>Compensation: Highly competitive, depending on experience.</p>
</li><li><p>Benefits: Comprehensive benefits package.</p>
</li><li><p>Travel: Minimal to none.</p>
</li></ul><p>.</p></div>

Attorney Securities & Regulatory Advisory

State of Arizona

<div><div><p>CORPORATION COMMISSION</p>
<p><i>The Arizona Corporation Commission (ACC) is one of the most unique state agencies in Arizona and one of only 13 public utility commissions in the country where commissioners are elected. Established by the Arizona Constitution, the ACC is a medium-sized agency with offices in Phoenix and Tucson. Our mission is diverse&mdash;spanning utility rate making; securities registration and enforcement; rail and pipeline safety; and corporate business filings&mdash;and we boast an average employment tenure of nearly 10 years. Learn more by visiting www.azcc.gov.</i></p>
</div><p><b>Securities Attorney</b></p>
<p><b>
Enforcement Section</b></p>
<p>
Job Location:
</p><div><p>Address: 1300 W. Washington, Phoenix, AZ 85007<br>
Flexible and Partial Remote Work Schedule Possible</p>
</div><p>Posting Details:
</p><div><p>Salary: $100K - $130K<br>
</p><p>Grade: ASR01</p>
</div><p>Job Summary:
</p><div><p>The Securities Division strives to preserve the integrity of the financial marketplace through investigative actions and the registration and oversight of securities, dealers and salespersons, and investment advisers; to enhance legitimate capital formation and deter financial fraud; and to minimize the burden and expense of regulatory compliance by legitimate business.<br>
We are seeking an attorney in our Enforcement Section who wants to immediately handle significant financial fraud cases, sometimes involving millions of dollars, to protect the public.</p>
</div>
<p>Job Duties:
</p><div><p>You will review and analyze evidence collected by the division&rsquo;s investigators, direct investigations, work with forensic accountants, draft pleadings, and litigate administrative and civil matters under the Arizona Securities Act and the Investment Management Act. Cases will be before the administrative law judges and in state and Federal courts. You will have experience in handling complex matters. You will analyze legal issues and provide recommendations to Securities Division management and to the Arizona Corporation Commission. You will assist county, state, and Federal prosecutors in criminal prosecutions.</p>
</div>
<p>Knowledge, Skills &amp; Abilities (KSAs):
</p><div><ul><li>Ability to understand and apply complex legal issues, especially securities regulation issues</li><li>Litigation skills, or the confidence and enthusiasm to develop litigation skills</li><li>Excellent communication and writing skills</li><li>Legal research skills</li><li>Motivation to help protect the public</li><li>Ability to handle contentious negotiations</li><li>Ability to work in a team environment</li><li>Ability to effectively perform high-level, independent legal work</li><li>Active membership (in good standing) in the State Bar of Arizona, or eligible by waiver</li></ul>
</div>
<p>Selective Preference(s):
</p><div><p>Experience in the securities industry and/or financial fraud cases is preferred</p>
</div>
<p>Pre-Employment Requirements:
</p><div><ul><li>Any offer of employment is contingent upon successful completion of an employment/reference check and confirmation of any degrees/certifications.</li><li>A.R.S. Section 40-101 prohibits Commission employees from having certain financial interests in entities that the Commission regulates. Applicants shall be required to disclose any interests they may have in the regulated entities during the application process, and as a condition of employment, to divest themselves of any prohibited interests.</li></ul>
<p><i>
If this position requires driving or the use of a vehicle as an essential function of the job to conduct State business, then the following requirements apply: </i><i>Driver&rsquo;s License Requirements.</i></p><br>
<p><i>
All newly hired State employees are subject to and must successfully complete the Electronic Employment Eligibility Verification Program (E-Verify).</i></p>
</div>
<p>Benefits:
</p><div><ul><li>Excellent comprehensive benefits, including a top-ranked retirement plan, low-cost health coverage, supplemental policies such as vision and short-term disability, and generous paid vacation and sick leave programs
</li><li>Career and personal development support; multiple training and education opportunities and resources; qualifying Public Service Loan Forgiveness employer</li><li>Interesting, challenging work in a public sector environment with the chance to make a real difference in our state</li><li>We are a recognized Arizona Veteran Supportive Employer</li></ul><br>
<p></p>
</div>
<p>Retirement:
</p><div><p>This position participates in the Arizona State Retirement System (ASRS) defined benefit pension.</p>
</div>
<p>Contact Us:
</p><div><p>If you have any questions, please feel free to email HumanResources@azcc.gov for assistance.</p></div></div>

Cc Attorney

X-HRverse

<p><b>The Opportunity</b></p><p>A leading full-service AmLaw 200 law firm in upstate New York is seeking a <b>Securities &amp; Capital Markets Attorney</b> to join its established legal team in either <b>Rochester or Buffalo, NY</b>. This full-time position offers the chance to work on sophisticated public and private securities offerings and advise clients on compliance with federal securities laws, exchange listing requirements, and corporate governance matters.</p><p><b>Primary Duties</b></p><ul><li>Advise clients on public and private capital market transactions</li><li>Provide guidance to publicly traded companies on SEC regulations, including compliance with the 1934 Exchange Act.</li><li>Offer strategic legal counsel on corporate governance, disclosure obligations, and exchange listing requirements.</li><li>Collaborate closely with issuers and underwriters to facilitate securities offerings.</li><li>Demonstrate a proactive and client-focused approach to legal service.</li><li>Contribute to meeting the firm&rsquo;s annual billable hour target of 1,800 hours.</li></ul><p><b>Requirements</b></p><ul><li>J.D. and admission to the New York State Bar (or willingness to obtain).</li><li>4&ndash;8 years of relevant securities and capital markets experience, preferably in a law firm setting.</li><li>Strong legal research, writing, and communication skills.</li><li>Ability to work effectively in a team-oriented environment.</li><li>No portable book of business required.</li><li>Candidates relocating from out of state may be temporarily hired as a <b>Law Clerk</b> while awaiting New York Bar admission.</li><li>Writing samples are encouraged upon application (mandatory only for litigation roles).</li></ul><p><b>The Partnership &ndash; Benefits</b></p><ul><li>Competitive salary</li><li>High quality of life in either Rochester or Buffalo, offering affordable living, vibrant cultural scenes, access to lakes, parks, and outdoor recreation, and growing professional communities.</li></ul><p>Job Type: Full-time</p><p>Pay: $140,000.00 - $177,000.00 per year</p><p>Work Location: In person</p>

Securities & Capital Markets Attorney

MissionNext

<p><b>Job Title: Corporate Attorney &ndash; Multiple Practice Areas</b></p><p><b>Locations: Fort Lauderdale, FL; West Palm Beach, FL; Tampa, FL; Orlando, FL; Miami, FL; Atlanta, GA</b></p><p><b>Employment Type: Full-Time</b></p><p><b>About Us:</b></p><p>MissionNxt, LLC, in partnership with our law firm clients, is seeking skilled <b>Corporate Attorneys </b>across multiple practice areas to join growing teams in Florida and Georgia. The firm is committed to delivering exceptional legal services while fostering professional growth and providing a competitive benefits package.</p><p><b>Position Overview:</b></p><p>We are looking for attorneys with 1&ndash;4 years or 6&ndash;10 years of experience in corporate law, securities, and corporate litigation. The ideal candidate will have strong drafting, negotiating, and analytical skills, and the ability to handle complex corporate transactions, compliance matters, and litigation support.</p><p><b>Key Responsibilities:</b></p><ul><li>Draft, review, and negotiate corporate contracts, agreements, and transactional documents.</li><li>Provide guidance on corporate governance, compliance, and securities matters.</li><li>Support corporate litigation and dispute resolution, as needed.</li><li>Conduct legal research and prepare memoranda, motions, and other filings.</li><li>Collaborate with internal teams and clients to provide strategic solutions.</li><li>Manage multiple tasks and projects efficiently while meeting deadlines.</li></ul><p><b>Requirements:</b></p><ul><li>Active Florida Bar membership (other state bars considered based on location).</li><li>1&ndash;4 years or 6&ndash;10 years of experience in corporate law, corporate securities, or corporate litigation.</li><li>Strong drafting, negotiation, and analytical skills.</li><li>Excellent communication and interpersonal skills.</li><li>Ability to work independently and as part of a collaborative team.</li></ul><p><b>Compensation &amp; Benefits:</b></p><ul><li>Competitive salary, commensurate with experience.</li><li>Full-time position with a comprehensive benefits package.</li><li>Opportunities for professional development, mentoring, and career advancement.</li></ul><p><b>Why Join Us:</b></p><ul><li>Work on high-profile corporate matters with experienced attorneys.</li><li>Contribute to a dynamic, collaborative, and growth-oriented legal team.</li><li>Enjoy competitive compensation and full benefits in a professional corporate environment.</li></ul><p>Job Type: Full-time</p><p>Pay: $150,000.00 - $200,000.00 per year</p><p>Work Location: In person</p>

Corporate Attorney - Multiple Practice Areas

State of Montana

<div><div><b>Attorney - Fraud Prosecutor</b> <b>-</b> <b>(</b><b>25142345</b><b>)</b></div><p></p><div><p><b><br>
Enforcement and Prosecuting Attorney for Insurance and Securities Fraud Cases</b></p><p>
Join the Montana Commissioner of Securities and Insurance (CSI) as an attorney focusing on prosecuting insurance and securities fraud cases.</p><ul><li> <b>Salary:</b> $95,000 &ndash; $125,000, depending on experience</li><li> <b>Position Type:</b> Full-time</li><li> <b>Relocation expenses</b>: Negotiable</li><li> <b>Application Requirements:</b> Cover letter, r&eacute;sum&eacute;, and a legal writing sample ( 3,000 words)</li></ul><p><b>
CSI Overview</b></p><p>
CSI is a criminal justice agency tasked with protecting Montanans by regulating two of the state&rsquo;s largest industries: securities and insurance. We protect a healthy marketplace through education, sensible regulation, and fair enforcement of the law, ensuring accountability for fraudsters and justice for their victims. For more information, please visit our &ldquo;About CSI&rdquo; webpage HERE.</p><p><b>
What You'll Do</b></p><ul><li>
Manage cases from referral through final judgment, including drafting all pleadings and briefs, and representing CSI in court appearances and at trial.</li><li>
Prosecute administrative actions related to insurance and securities fraud and then represent CSI in potential appeals.</li><li>
Collaborate with state and federal partners to prosecute complex white collar criminal cases.</li><li>
Exercise meaningful autonomy in your casework, supported by a team that values collegiality, excellence, and public service.</li><li>
There is also the opportunity to work on other legal matters for CSI, including civil litigation.</li></ul><p><b>
Why Join Us</b></p><ul><li><b>
Meaningful, Purpose-Driven Work:</b><b> </b>Help protect Montanans by enforcing Montana&rsquo;s insurance securities laws. This includes a special focus on protecting elderly and vulnerable individuals who are the victims of fraud.</li><li><b>
Work-Life Balance</b>: 15+ vacation days, sick leave, 11+ paid holidays, and maternity and parental leave.</li><li><b>
Outstanding State of Montana Benefits</b>: Comprehensive health, dental, and vision coverage for you and your family starting on your first day of employment. Additional details are available HERE.</li><li><b>
Retirement Security: </b>Multiple retirement plan options with a generous employer contribution. Additional details are available HERE.</li><li><b>
Loan Forgiveness</b>: Eligible for Public Service Loan Forgiveness (PSLF) program.</li><li><b>
Positive Culture: </b>CSI is a small, family-friendly state agency. Our success comes from building effective working relationships based on mutual trust and respect for each other&rsquo;s skills and abilities. We will encourage you to excel both in your individual competencies and as a team player. To learn more, visit our &ldquo;Work with Us&rdquo; website HERE.</li></ul></div><p></p><div><p><b><br>
Minimum qualifications</b></p><ul><li>
A Juris Doctor degree.</li><li>
Exceptional legal research and writing skills.</li><li>
The ability to work independently while meeting deadlines.</li><li>
Membership in good standing in the State Bar of Montana, or the ability to become a member by an agreed-upon date.</li><li>
Satisfactory completion of a criminal background check.</li></ul><p><b>
Preferred qualifications</b></p><ul><li>
Four or more years of experience as a prosecutor, including experience as lead counsel at trial. Similar experience with civil litigation will also be considered.</li></ul><ul><li>
Two or more years of experience in the insurance or securities industries.</li></ul><p><b>
How to Apply</b></p><p>
Please submit the following items with your application through statecareers.mt.gov before the deadline:</p><ul><li>
A cover letter</li><li>
R&eacute;sum&eacute;</li><li>
A Legal Writing Sample (3,000 words or less, authored within the past three years)</li></ul><p>
When uploading and submitting your application materials, please be sure to mark your attachments as &ldquo;relevant,&rdquo; or we will be unable to view them.</p><p>
The successful applicant will be subject to a criminal history background check.</p><p>
Only electronic materials will be accepted. If you need assistance or an accommodation, please contact CSI Human Resources. Materials submitted but not requested will not be considered in the selection process.</p><p>
Applicants claiming employment preference are required to provide proper documentation, i.e., Vet Preference (DD214), Disabled Vet document from U.S. Veterans Administration certifying service-connected disability or Purple Heart medal, disabled (DPHHS Disability Certification), by the closing date. The State of Montana Careers system will generate an email with instructions on how to submit preference documents.</p><div><br>
</div></div><div><b>
Applicant Pool Statement</b><b>:</b> If another department vacancy occurs in this job title within six months, the same applicant pool may be used for the selection.<div>
</div><b>
Training Assignment</b><b>:</b> Not Applicable<div></div><div><br>
</div></div><div><b>
Salary: $</b> 95,000.00 - 125,000.00 Yearly<div></div><div><br>
</div><b>
Telework Eligibility</b><b>:</b> Telework Eligible (Full-time telework is not available. Telework schedule must be supervisor approved.)<div>
</div><b>
Benefits Package Eligibility</b><b>:</b> Health Insurance, Paid Leave &amp; Holidays, Retirement Plan<div></div><div><br>
</div></div><div><b>
Number of Openings</b><b>:</b> 1<div>
</div><b>
Employee Status</b><b>:</b> Regular<div>
</div><b>
Schedule</b><b>:</b> Full-Time<div>
</div><b>
Job Type</b><b>:</b> Standard<div>
</div></div><div><b>
Shift</b><b>:</b> Day Job<div>
</div><b>
Travel</b><b>:</b> Yes, 5 % of the Time<div></div><div><br>
</div></div><div><b>
Primary Location</b><b>:</b> Helena<div></div><div><br>
</div><b>
Agency</b><b>:</b> State Auditor's Office<div>
</div><b>
Union</b><b>:</b> 000 - None<div></div><div><br>
</div></div><div><b>
Posting Date</b><b>:</b> Oct 7, 2025, 3:06:32 PM<div>
</div><b>
Closing Date (based on your computer's timezone)</b>: Ongoing<div>
</div></div><div><b>
Required Application Materials</b><b>:</b> Cover Letter, Resume<div></div><div><br>
</div></div><div><b>
Contact Name</b><b>:</b> Abigail Kay Nesslar | <b>Contact Email</b><b>:</b> abigail.nesslar@mt.gov | <b>Contact Phone</b><b>:</b> 406-444-9222</div></div><p></p>

Attorney - Fraud Prosecutor

Primerica

<div><div>Join Our Team</div><div></div><div>
In 2025, USA Today recognized Primerica as a Top Workplace USA for the fifth year in a row, and Newsweek named Primerica one of America&rsquo;s Greatest Workplaces for Diversity for the second consecutive year. In 2024, the Atlanta Journal-Constitution named Primerica as a Top Workplace for the eleventh consecutive year, and Forbes recognized Primerica as one of America&rsquo;s Best Employers for Women for the fifth year in a row. In addition, for the tenth time Primerica has been voted a Best Employer by Gwinnett Magazine. Primerica is a great place to work! Join our team to experience what it&rsquo;s like to work at &ldquo;one of the best places to work in the metro Atlanta&rdquo;.</div><div></div><div>
About this Position</div><div></div>
The Securities Compliance Department of two Broker-Dealers and Registered Investment Adviser has an opening for a compliance attorney to join a team of Compliance Attorneys, Compliance Officers and Compliance Analysts. This role is responsible for reviewing securities laws and regulations, developing policies and procedures sufficient to comply with regulatory requirements, and conducting compliance testing to identify and manage regulatory risk. This person will be responsible for understanding the securities products offered by the Firm, including mutual funds, variable annuities, 529 Plans and a wrap-fee advisory product. This person will also be responsible for providing guidance and training to the business and registered representatives.<br>
<br>
This is a hybrid position that involves working 3 days onsite in the Duluth, Georgia office and 2 days remotely.<br>
<br>
The salary range $90-120k<div></div><div>
Responsibilities &amp; Qualifications</div><div></div><div>
ESSENTIAL DUTIES AND RESPONSIBILITES:</div><ul><li>
Interpret new and existing securities laws and regulations and use knowledge and experience to provide guidance to business units across the broker-dealers and registered investment adviser.</li><li>
Work directly with registered representatives and regulators such as FINRA, SEC and the Securities Divisions of each state on responses to regulatory inquiries.</li><li>
Serve as subject matter expert and represent the Compliance Department in business meetings and on committees.</li><li>
Analyze existing policies, procedures, processes, and controls to determine gaps or areas for improvement.</li><li>
Assist the Compliance Department with researching and analyzing relevant compliance-related information in an effort to identify potential issues, trends, risks and/or training opportunities.</li><li>
Create training that may include in person training or written training such as bulletins and publications.</li><li>
Conduct compliance testing to ensure the broker-dealers and registered investment adviser are meeting regulatory requirements.</li><li>
Prepare and submit timely regulatory filings, such as Form BD amendments, NSCC notifications, and other required filings to applicable regulators.</li><li>
Work with business units to provide guidance and create, update, and/or enhance policies and procedures to achieve compliance with regulatory requirements.</li></ul><div></div><div>
REQUIRED SKILLS AND ABILITIES:</div><ul><li>
Ability to manage multiple priorities and quickly and efficiently adapt to changes in procedures or policies</li><li>
Ability to function independently as well as well as cooperatively</li><li>
Ability to perform assigned tasks within the specified time frames and meet quality expectations</li><li>
Ability to conduct research and provide management with proposed solutions</li><li>
Thorough and detail-oriented with aptitude for identifying risk and capability to research complex problems and collaborate to create solutions</li><li>
Microsoft Office products, e.g., Word, Excel, etc.</li><li>
Excellent analytical, research, and writing skills</li><li>
Excellent interpersonal relationship skills</li><li>
Excellent verbal and written communication skills</li><li>
Strong sense of ethics, accountability, and judgment</li></ul><div></div><div>
MINIMUM REQUIRED QUALIFICATIONS:</div><ul><li>
Juris Doctorate</li><li>
Bachelor&rsquo;s Degree</li><li>
FINRA SIE, Series 7, 24 and 65/66 securities licenses (or obtained within 150 days of hire)</li></ul><div></div><div>
PREFERRED QUALIFICATIONS:</div><ul><li>
2-5 years of experience in the financial services industry</li><li>
Experience with securities regulators, such as FINRA, SEC and the Securities Divisions of each state</li><li>
Strong working knowledge and understanding of US securities laws and regulations</li><li>
Relevant compliance experience, including policies and procedures development, compliance risk assessments, responding to regulatory inquiries, completing regulatory filings etc.</li><li>
Comprehensive understanding of mutual funds, annuities and/or advisory products</li><li>
Experience with FINRA Gateway and/or WebCRD</li></ul><div></div><div>
FLSA status:<br>
This position is exempt (not eligible for overtime pay):</div>
Yes<div></div><div>
Our Benefits:</div><ul><li><div>
Day one health, dental, and vision insurance</div></li><li><div>
401(k) Plan with competitive employer match</div></li><li><div>
Vacation, sick, holiday and volunteer time off</div></li><li><div>
Life and disability insurance</div></li><li><div>
Flexible Spending Account &amp; Health Savings Account</div></li><li><div>
Professional development</div></li><li><div>
Tuition reimbursement</div></li><li><div>
Company-sponsored social and philanthropy events</div></li></ul><div></div><div>
It has been and will continue to be the policy of Primerica, Inc., and its subsidiaries to be an Equal Opportunity Employer. We provide equal opportunity to all qualified individuals regardless of race, sex, color, religious creed, religion, national origin, citizenship status, age, disability, pregnancy, ancestry, military service or veteran status, genetic or carrier status, marital status, sexual orientation, or any classification protected by applicable federal, state or local laws.</div><div></div><div>
At Primerica, we believe that diversity and inclusion are critical to our future and our mission &ndash; creating a foundation for a creative workplace that leads to innovation, growth, and profitability. Through a variety of programs and initiatives, we invest in each employee, seeking to ensure that our people are not only respected as individuals, but also truly valued for their unique perspectives.</div></div>

Compliance Attorney, Securities

Search 1845+ Securities attorney jobs near you this October. New roles added regularly across leading industries. Apply today.