Chief Legal Officer

The successful candidate will manage regulatory inquiries and handle high profile investigations for Fidelis Capital Group (FCG). On occasion, coordination and management of outside counsel is required. Additional responsibilities will include rendering related legal advice and counsel to the firm and various business units relating to the application of federal, state and SRO rules and regulations. 

Essential Functions:

Manage and defend regulatory enforcement matters involving the firm and/or its associated persons. 
Evaluate legal and regulatory risk and exposure, coordinate and prepare written responses and productions, communicate with regulators as to scope and content of productions and responses, and defend witnesses at testimony and during informal interviews.
Provide timely risk assessments and status updates of regulatory matters for executive management.
Advise internal departments about risk areas and provide legal guidance regarding firm procedures and regulatory requirements.
Attend industry events and educational seminars focusing on regulatory developments and initiatives; maintain current practice knowledge through monitoring of industry-related periodicals and other publications.
Perform due diligence; draft and review documents related to financing, private placements, public offerings of equity and debt securities and SEC regulatory requirements.
Qualifications:

Juris Doctor degree required
Licensed member (and in good standing) of the Indiana bar or state in which the attorney is located
Minimum of 10 years of securities regulatory experience; prior employment with a federal, state or SRO securities regulator is highly desirable
Proven as a strong advocate and solution-oriented partner with the ability to collaborate and multi-task
Clear communication and superior writing and analytical skills
Ability to travel as needed
 Qualified candidates looking for part-time and/or remote work are encouraged to apply.  This is a brand-new position and the right candidate may be able to fulfill the duties required on a part-time/remote basis.