Cambridge Investment Research, Inc., a national leader as a securities broker/dealer and named by the Des Moines Register among the Top Workplaces in Iowa, is looking to hire Corporate Counsel who will work under the direction of senior counsel. This position is responsible for working with a dynamic, high-performing team that handles a full range of legal matters arising in connection with the firm’s broker-dealer, insurance and registered investment advisor operations.
The ideal candidate will have two to five years experience practicing as an attorney. Preference will be given to candidates who have worked with independent broker-dealers and registered investment advisor firms and have knowledge of the Investment Advisers Act of 1940, Securities Act of 1933, Securities Exchange Act of 1934 and the rules and regulations of the Financial Industry Regulatory Authority (FINRA).
** This position is located in Fairfield, IA.
Duties include, but are not limited to:
• Interface with and support Legal Leadership and senior management on complex legal and regulatory matters including, but not limited to, regulatory inquiries and examinations, legal opinions, contract negotiations, litigations, and arbitrations
• Interface externally in a professional and courteous manner, including with outside counsel, to achieve the Company’s common goals and ensure communication of those goals and statuses to all necessary parties
• Provide comprehensive solutions to complex problems or needs including negotiating agreements and drafting contracts for complicated services and relationships related to the Company’s broker-dealer, insurance and registered investment advisor operations
• Manage the completion of legal projects including contracts, correspondence, reports, demands and pleadings and offer advice as it relates to any legal commitments of the Company
• 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 Legal Leadership, senior management and the Compliance department on arbitration and mediation issues