Denovo Review
Senior Litigation and Regulatory Compliance Counsel (P107/o)
Denovo Review, Salt Lake City, Utah, United States, 84193
Established fintech, investing, and trading company is seeking a highly skilled and experienced Senior Litigation and Regulatory Compliance Counsel to join their dynamic legal team. The ideal candidate will have a strong background in business disputes, securities law, and regulatory compliance. This role requires an individual who is adept at handling complex litigation and providing strategic regulatory advice to clients operating in a highly regulated environment.Key Responsibilities:Litigation Management:
Lead and manage complex litigation cases, including business disputes, construction defects, breach of non-competition and leasing agreements, trade secret issues, and securities cases.Represent clients in mediation, arbitration, trial, and appellate processes.Develop and execute litigation strategies, ensuring thorough understanding of the facts and legal issues involved.Provide honest and practical advice to clients throughout the litigation process.
Regulatory Compliance:
Advise clients on compliance with federal and state securities laws and their impact on broker-dealers, investment advisers, and public companies.Design and implement compliance policies, written supervisory procedures, and anti-money laundering programs in line with the Bank Secrecy Act.Conduct internal investigations and implement remediation programs for clients.Assist clients with inquiries, examinations, and enforcement actions from the SEC, FINRA, and state securities divisions.
Client Engagement:
Develop strong relationships with clients, understanding their practical and operational needs to provide tailored legal solutions.Communicate effectively with clients, providing clear and concise advice on complex legal matters.
Qualifications:Juris Doctor (J.D.) from an accredited law school.Admitted to practice law in Utah.Minimum of 10 years of experience in litigation, with a focus on business disputes, securities law, and regulatory compliance.Proven track record of successful litigation outcomes and effective client representation.Strong organizational skills and attention to detail.Excellent written and verbal communication skills.Ability to work independently and as part of a team.Preferred Qualifications:Recognized practitioner in litigation or securities law by leading legal directories (e.g., Chambers USA, Best Lawyers).Experience serving as general counsel or in-house counsel for a financial services firm.Active involvement in professional organizations related to securities law and compliance.
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Lead and manage complex litigation cases, including business disputes, construction defects, breach of non-competition and leasing agreements, trade secret issues, and securities cases.Represent clients in mediation, arbitration, trial, and appellate processes.Develop and execute litigation strategies, ensuring thorough understanding of the facts and legal issues involved.Provide honest and practical advice to clients throughout the litigation process.
Regulatory Compliance:
Advise clients on compliance with federal and state securities laws and their impact on broker-dealers, investment advisers, and public companies.Design and implement compliance policies, written supervisory procedures, and anti-money laundering programs in line with the Bank Secrecy Act.Conduct internal investigations and implement remediation programs for clients.Assist clients with inquiries, examinations, and enforcement actions from the SEC, FINRA, and state securities divisions.
Client Engagement:
Develop strong relationships with clients, understanding their practical and operational needs to provide tailored legal solutions.Communicate effectively with clients, providing clear and concise advice on complex legal matters.
Qualifications:Juris Doctor (J.D.) from an accredited law school.Admitted to practice law in Utah.Minimum of 10 years of experience in litigation, with a focus on business disputes, securities law, and regulatory compliance.Proven track record of successful litigation outcomes and effective client representation.Strong organizational skills and attention to detail.Excellent written and verbal communication skills.Ability to work independently and as part of a team.Preferred Qualifications:Recognized practitioner in litigation or securities law by leading legal directories (e.g., Chambers USA, Best Lawyers).Experience serving as general counsel or in-house counsel for a financial services firm.Active involvement in professional organizations related to securities law and compliance.
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