Senior Legal Counsel (Securities)

Location: Hybrid role in Duluth, Georgia, with two days in the office.

Salary: $90,000–$110,000 annually.

Company

hirify.global is a financial services company providing investment and insurance-related products through its sales force.

What you will do

• Investigate and resolve consumer complaints involving mutual funds, variable annuities, managed accounts, 529 plans and other securities-related services.
• Respond to SEC, FINRA, state securities and other regulatory inquiries.
• Assist representatives with required statements and prepare documents for management approval of consumer settlements.
• Negotiate and implement settlements, including facilitating client payments, adjusting client accounts and communicating representative discipline when necessary.
• Identify and complete regulatory reports, including Form U-4 and U-5 amendments, 30-day and quarterly 4530 Reports, and Suspicious Activity Reports.

Requirements

• Law degree and admission to the bar of any state.
• Series 6 and Series 26 securities licenses, to be obtained within 90 days of hire.
• Good negotiating skills and excellent oral and written communication skills.
• Electronic research skills and computer proficiency with Word, Excel, Westlaw and the Internet.
• Strong mathematical, analytical and organizational skills.
• Detail-oriented, self-motivated and able to work as part of a team.

Nice to have

• Basic knowledge of hirify.global’s sales force, corporate structure, internal guidelines and PFSI business policies.
• Knowledge of federal and state tax laws.

Culture & Benefits

• Hybrid work schedule with two days in the office.
• Health, dental and vision insurance from day one.
• 401(k) plan with a competitive employer match.
• Vacation, sick, holiday and volunteer time off, plus life and disability insurance.
• Flexible Spending Account, Health Savings Account, professional development and tuition reimbursement.
• Company-sponsored social and philanthropy events.