Description
Experienced B/D Attorney/Tax Professional Seasoned, business-oriented broker-dealer, insurance company and insurance agency attorney is seeking a full-time position in the financial services industry. Has 22 years of in-house legal experience in the industry, with substantial experience in regulatory/tax compliance, ERISA/IRA compliance (including formulation and implementation of compliance procedures, supervision of handling such accounts by stockbrokers and operations personnel and successfully passing audits by the Department of Labor and Internal Revenue Service), fully-disclosed correspondent clearing, “back-office” operations, registration and licensing issues (including insurance licenses/company appointments and investment advisors), registered and non-registered personnel employment issues, and tax reporting. Also well-versed in corporate governance issues, corporate secretarial duties, mergers/acquisitions/divestitures and has had exposure to Sarbanes-Oxley. LLM in Taxation, with particular expertise in SALT matters and tax controversies. Background includes large law firm experience, government service and professional staff supervision.
