The Regulatory Counsel, Broker-Dealer, represents the firm on regulatory matters and is responsible for the enhancement and maintenance of internal policies and procedures in connection with FINRA and SEC requirements. The ideal candidate would be a thought leader in regulatory compliance and have demonstrated success in project management, program enhancement, and key relationship development.
The successful candidate is expected to:
- Oversee regulatory filings and all communications with FINRA on issues related to BDCs and/or the FS Investments broker-dealer.
- Collaborate with due diligence in development of presentations and responses to information requests.
- Draft comment and response letters to applicable regulatory agencies relating to regulatory issues.
- Develop and conduct ongoing training on regulatory matters for licensed personnel.
- Provide advice on and track regulatory developments affecting the firm and the industry and serve as a subject matter expert on regulatory and compliance matters.
- Develop and maintain relationships with external stakeholders/regulators.
- Engage in public policy dialogue and provide strategic guidance on regulatory needs.
- 7–10 years of experience in legal field; work experience in a private practice preferred
- JD degree from accredited law school with strong academic credentials
- Member of the PA Bar preferred
- Thorough understanding of regulatory and compliance matters
- Experience with general broker-dealer securities regulation preferred
- Series 7 and 24 preferred but not required
About FS Investments
FS Investments is a leading asset manager dedicated to helping individuals, financial professionals and institutions design better portfolios. The firm provides access to alternative sources of income and growth through funds managed in partnership with top institutional investment advisers. It focuses on setting industry standards for investor protection, education and transparency.
FS Investments was founded in 2007 as Franklin Square Capital Partners. It is headquartered in Philadelphia with offices in Orlando and Washington, DC. The firm currently manages seven funds with over $20 billion in assets under management as of March 31, 2017. Its affiliated broker-dealer, FS Investment Solutions, LLC (member FINRA/SIPC), distributes its offerings.
FS Investments is an Equal Opportunity Employer.
Visit fsinvestments.com to learn more.