Counsel Retail
Location: Omaha Nebraska
Description: TD Ameritrade is currently seeking to employ Counsel Retail right now, this vacancy will be placed in Nebraska. For complete informations about this vacancy opportunity please give attention to these descriptions. Job Title: Counsel, Retail
Job ID: 102373-2
Job Location: Omaha, Nebraska
Employment Type: Full-Time
Contract Type: Regular
Manager Level: Senior Manager
A leader in brokerage and investment services for over 35 years, TD Ameritrade offers a full spectrum of powerful solutions and innovative tools for trading and investing. We're constantly expanding our knowledge and bolstering our capabilities, from a leading active trader program to intuitive long-term investment solutions and a natio! nal branch system. Combined with some of the industry's bright! est minds, there's no limit to how big our accomplishments can be.
From first-time investors to sophisticated traders, TD Ameritrade is focused on helping individuals seek out their financial goals. And you're the ambassador to all that we do. Beginning with our trading platform and proprietary technology to our resolve to outperform, you'll maintain the high level of quality and integrity we're known for, each and every day. With the right opportunity, there's no limit to what you can accomplish.
As a leading employer in financial services, we believe in building strong relationships, achieving quality results and working with integrity. It's at the heart of everything we do. That's why we provide you with comprehensive training, benefits and programs that inspire you to achieve more every day. Apply to a TD Ameritrade job today and help our clients pursue their dreams, while you fulfill yours.
Applicants must be eligible to work in the U.S. Immigration sponsor! ship is typically not available for this position.
Role:
This position reports to the Deputy General Counsel, Operations. This attorney primary duty is to provide broker-dealer regulatory counseling to various business groups within TD Ameritrade, Inc. (“TDAâ€), primarily ones in its retail division. The attorney will be responsible for advising the retail business as to all client facing and distribution practices, from “know your customer†suitability, anti-money laundering, client agreements, print and website disclosures, and advertising. The attorney will be responsible for advising on existing and new products and services offered to clients. The attorney from time to time will facilitate implementation of the guidance and advice, such as by preparing related communications to associates and clients and negotiating and drafting related agreements. Matters from time to time will include review and advice regarding: regulatory issues, disclosu! res, supervisory procedures, legal business analysis, product offerings! (including insurance products), litigation, mergers and acquisitions, risk/liability issues, etc.
Responsibilities:
Provide legal and strategic regulatory guidance to Retail Division management and associates on various projects and initiatives and implement as appropriate
Provide legal guidance regarding the roll out of new products and services to clients.
Review of new advertising campaigns.
Assist in responding to regulatory requests.
Advise on overall supervision of sales, service and branch operations.
Conduct legal research and due diligence, prepare correspondence, memoranda and other legal documents or regulatory filings.
Research the various state laws relating to opening and maintaining brokerage accounts and prepare memorandum of law with conclusions and recommendations.
Assess new legislation and proposed rules of federal and state agencies and self-regulatory organizations; pre! pare memorandum of law with conclusions and recommendations.
Analyze legislation or proposed rules and prepare draft comment letters/position papers where appropriate.
Ad hoc projects as needed
Counsel TDA management and Compliance associates, including by identifying risks and proposing alternative structure to mitigate risks in potential transactions.
Provide counsel and work as a team with other members of the Legal Department, such as the Senior Deputy General Counsel, on litigation matters.
Manage outside counsel as necessary.
Requirements:
J.D. (Juris Doctorate) required
5-7 years related work experience
Strong legal research and drafting skills required
Knowledge of general securities, corporate and commercial law, and broker dealer regulations
Ability to acquire working knowledge of Securities Act of 1933, Securities Exchange Act of 1934, and SRO and state securities! laws, rules and regulations
Strong organizational skills (pro! ject management experience a plus)
Requires a high degree of maturity and excellent interpersonal, communication and oral presentation skills
SEC or FINRA experience or law firm experience advising financial institutions.
ERISA and banking law experience a plus.
TD Ameritrade participates in the E-Verify program for those states requiring E-Verify. For additional information on this program please click here .
TD Ameritrade is an Equal Opportunity Employer. We value diversity and offer a quality workplace.
TD Ameritrade, Inc. member FINRA/SIPC/NFA is a subsidiary of TD Ameritrade Holding Corporation (NASDAQ: AMTD). TD Ameritrade is a trademark jointly owned by TD Ameritrade IP Company and the Toronto-Dominion Bank. © 2012 TD Ameritrade IP Company, Inc. All rights reserved. Used with permission.
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If you were eligible to this vacancy, please email us your resume, with salary requirements and a resume to TD Ameritrad! e.
If you interested on this vacancy just click on the Apply button, you will be redirected to the official website
This vacancy starts available on: Fri, 03 Jan 2014 14:40:45 GMT