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Broker - Dealer / Investment Adviser Attorney
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- We have implemented a virtual hiring process and continue to interview candidates by phone or video conferencing, and we are onboarding new employees both onsite and remotely.
- The Securities Business Counsel department is seeking an Attorney to support its affiliate PFS Investments Inc., a dually registered broker-dealer and investment adviser.
- Securities industry experience (in-house, law firm or regulatory) and working knowledge of Securities Act of 1933, Securities Exchange Act of 1934, Investment Advisers Act of 1940, ERISA, FINRA rules, SEC rules and state securities laws is preferred.
- Providing legal counsel in connection with the broker-dealers distribution of mutual funds, annuities, IRAs, and employer-sponsored retirement plans, as well as the firms wrap-fee advisory program
- Work with the existing legal staff on all aspects of the firms business, including product due diligence, IRA custodian, vendor agreements, brokerage agreements, advisory agreements, training, advertising review, regulatory disclosures, regulatory filings, and monitoring of regulatory changes
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