Previous Job
Previous
Case Attorney
Ref No.: 18-18664
Location: Tampa, Florida
The Case Attorney position supports all aspects of the retail broker dealer/RIA and insurance agency business's pre-litigation disputes. The position is primarily responsible for the review, evaluation and resolution of customer complaints and any regulatory inquiries relating thereto. This process typically includes forming a tailored investigation strategy for each complaint, including the determination of the parties to be interviewed, working with various internal and external parties to obtain relevant documents, conducting witness interviews, and engaging with internal partners such as compliance, investigative services, and investment product specialists. The Case Attorney provides the legal analysis for the business as to the potential exposure to the client and from a regulatory perspective, and recommends the course of action. The Case Attorney is responsible for preparing the client response and negotiating any resolution with the client (or the client's attorney) if necessary or appropriate. The position also prepares any settlement documents and information for regulatory filings. A moderate knowledge of investments and investment-related terms, and/or relevant experience in the financial services industry are strongly preferred.