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 national branch system. Combined with some of the industry's brightest 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 sponsorship is typically not available for this position.
Role:
The Assistant Counsel ('AC') position is for an junior attorney who has some experience advising clients on laws, rules and regulations applicable to broker-dealers. In many cases, the AC will be the Company's public face with regulators. The AC will report to the Deputy General Counsel, Regulatory Operations.
Responsiblities:
Interact with management level staff and directly with regulators in conjunction with regulatory inquiries and investigations
Oversee the retrieval of documents and their production to regulators
Construct and effectively communicate persuasive written responses to issues raised by the regulators
Serve as the legal resource on internal projects the Company is undertaking
Provide legal guidance to cross functional teams regarding the application of rules and regulations to new products
Need to be current on new developments in broker-dealer regulation and new proposals and industry best practices in advising the business units
Requirements:
2+ years of in house and/or law firm experience
3-5 years experience
Fundamental working knowledge of rules applicable to broker-dealers
Experience with exposure to clearing firm operations and applicable financial reporting rules
Requires a high degree of maturity and excellent interpersonal, communication and oral presentation skills
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.
