Regulatory and Litigation Counsel

Company Details

Job Description:

Wedbush Securities is one of the largest full-service securities broker-dealers and investment banks in the nation. Our Legal Department is seeking a Regulatory and Litigation Counsel who will provide effective, responsive, and strategic legal advice on securities, capital markets, and other company matters. This role can be in either Los Angeles or New York. This is a hybrid role.

Responsibilities include, but are not limited to:

  • Handle regulatory matters involving the SEC, FINRA, and other governmental and self-regulatory organizations
  • Personally handle or work as co-counsel representing Wedbush in FINRA arbitrations and FINRA and SEC enforcement proceedings
  • Provide effective oversight and management of outside counsel on litigation and regulatory enforcement cases
  • Work collaboratively and effectively with the Compliance Department and other members of the Legal Department to ensure a positive relationship with firm regulators
  • Provide advice and counsel on legal cases and compliance/regulatory matters
  • Communicate efficiently with both management and fellow members of the legal team
  • Oversee paralegals in responding to subpoenas and other document requests
  • Support the Firm’s employment activities and play a role in ensuring the company’s compliance with U.S. laws
  • Collaborate with other attorneys, with respect to advice and counseling provided to HR and other cross-functional partners
  • Perform other tasks and duties as required and assigned


Required Experience:

  • J.D. from a law school counsel
  • Licensed to practice in California or New York
  • Financial services experience required
  • 3+ years of experience with FINRA and SEC matters
  • 3 years legal experience in securities matters, including ’33 Act, ’34 Act, SEC rules, and related considerations
  • Strong legal research, analytical, and problem-solving skills
  • Highly organized and able to multi-task and manage multiple projects and competing priorities without sacrificing accuracy or efficiency
  • Strong analytical, problem-solving, and critical-thinking skills
  • Ability to work independently and exercise sound judgment in determining when to consult management, colleagues, and clients
  • Excellent verbal and interpersonal communication skills demonstrated by the ability to interact with all levels of management, employees and outside legal counsel and government officials
  • Ability to anticipate and identify issues, develop solutions, and manage occasional periods of heavy work demands

From: Wedbush Securities

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