Senior Legal Counsel (Securities)

Location: Hybrid role in Duluth, Georgia, with 2 days in the office

Salary: $90,000–$110,000 annually

Company

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

What you will do

• Investigate and resolve consumer complaints involving mutual funds, variable annuities, managed accounts, 529 plans, and related securities services.
• Prepare responses to SEC, FINRA, state securities, and other regulatory inquiries.
• Assist representatives with required statements and negotiate and implement consumer settlements.
• Prepare settlement documentation for management approval and coordinate client payments and account adjustments.
• Communicate representative discipline when required.
• 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 U.S. state.
• Series 6 and Series 26 securities licenses, to be obtained within 90 days of hire.
• Strong negotiation, oral and written communication, electronic research, mathematical, analytical, and organizational skills.
• Detail-oriented, self-motivated, collaborative, and computer proficient in Word, Excel, Westlaw, and Internet research.
• Basic knowledge of hirify.global’s sales force, corporate structure, internal guidelines, business policies, and federal and state tax laws is preferred.

Culture & Benefits

• Health, dental, and vision insurance from day one.
• 401(k) plan with employer match.
• Vacation, sick, holiday, and volunteer time off.
• Life and disability insurance, Flexible Spending Account, and Health Savings Account.
• Professional development, tuition reimbursement, and company-sponsored social and philanthropy events.