Cambridge Investment Research, Inc., a national leader as a financial solutions firm, has an opening in Legal for a full time Associate Director, Legal.
The Associate Director, Legal works under the direction of Legal leadership and assists with handling the daily and ongoing legal projects at the request of management in the Legal Department.
Essential Duties and Responsibilities:
- Provide research and analysis with respect to issues or problems assigned by department management
- Reviewing and drafting contracts applicable to the Companyâs business
- Perform in-depth research, analysis and monitoring of federal and state laws, rules and regulations, within both the securities and the investment advisory area, and assist in ensuring operations are working within the scope of said laws, rules and regulations
- Accurately communicate questions and concerns from rep-advisors to senior management and appropriate home office personnel, assisting with any matter presented for consideration
- Coordinate with senior management and the Compliance department on arbitration and mediation issues
- Interface within the company in a professional and courteous manner to achieve the Companyâs common goals and ensure communication of those goals and statuses to all necessary parties
Education/Experience:
Bachelorâs degree from four-year college or university; Juris Doctorate from an ABA Accredited Law School; and minimum of three years as a licensed and practicing attorney, preferable in a securities or financial services-related setting.
Certificates and Licenses:
Licensed in good standing with the Iowa Bar. Financial Industry Regulatory Authority (FINRA) Series 7 and 66 licenses are required within 18 months of hire.
Find one job in US 