Review Vacancy

Date Posted: 04/19/22
Applications Due: 05/19/22
Vacancy ID: 103363

Position Information

AgencyInsurance Fund, State

TitleSecurities Regulation Advisor

Occupational CategoryOther Professional Careers

Salary GradeNS

Bargaining UnitM/C - Management / Confidential (Unrepresented)

Salary RangeFrom $150000 to $180000 Annually

Employment Type Full-Time

Appointment Type Permanent

Jurisdictional Class Exempt Class

Travel Percentage 10%

Schedule

Workweek Mon-Fri

Hours Per Week 37.50

Workday

From 8 AM

To 5 PM

Flextime allowed? No

Mandatory overtime? No

Compressed workweek allowed? No

Telecommuting allowed? Yes

Location

County New York

Street Address 199 Church Street

City New York

StateNY

Zip Code10007

Job Specifics

Minimum Qualifications •Bachelor’s degree, ideally with a focus in finance, business administration, economics, or a related field. Juris Doctor (and a member in good standing of the New York State Bar Association) or other advanced degree preferred.
•A minimum of seven (7) years of experience in the financial services industry, atfinancial regulatory agencies, and/or in a related financial arena.
•Demonstrated knowledge of securities laws and rules.
•Proficiency in using data analyses tools/methodologies.
•Experience in supervision and management of large-scale cross-functional projects.
•Ability to collaborate with peers, managers and policymakers, and a demonstratedcommitment to diversity and inclusion.
•Supervisory and management experience.

Duties Description The Securities Regulation Advisor, reporting to the Executive Department, will provide legal advice and counsel to NYSIF’s Executive Management Team and Board of Commissioners in all areas of securities regulation and compliance, and corporate governance. The incumbent will also advise on securities regulation, including securities law reporting, compliance and disclosure issues, shareholder meeting matters, stock exchange listing requirements, corporate governance, and Board matters.

The incumbent will be required to have knowledge and expertise on U.S. securities laws, particularly, the Securities Act of 1933, the Securities Exchange Act of 1934, and other applicable laws and regulations. Specific duties and responsibilities include, but are not limited to:
• Provide legal advice and counsel to NYSIF’s Executive Management Team and Board of Commissioners in all areas of securities regulation and compliance, and corporate governance.
• Support the Executive Management Team and Board of Commissioners with materials, resolutions, whitepapers, minutes, and post-meeting action items, as requested.
• Provide legal counsel to the Chief Financial Officer and Chief Investment Officer for matters relating to securities law compliance and disclosure.
• Investigate and report out on matters pertaining to violations of securities regulations and laws, specifically those relating to securities fraud, insider trading, and other manipulative trading activities.
• Provide relevant regulatory or broker-dealer information on compliance, trade surveillance, and securities regulation.
• Maintain knowledge of U.S. securities laws, particularly, the Securities Act of 1933, the Securities Exchange Act of 1934, and other applicable laws and regulations.
• Advise on securities regulation, including securities law reporting, compliance and disclosure issues, shareholder meeting matters, stock exchange listing requirements, corporate governance, and board matters.
• Review, analyze and provide comments on investment company, business development company, and insurance company registration statements and other filings to help ensure full disclosure and compliance with applicable form and other regulatory requirements.
•Provide formal and informal guidance to internal and external stakeholders relating to issues under the Investment Company Act, the Investment Advisers Act, and other federal and state laws and regulations.
•Exercise sound judgment, exhibit attention to detail, and observe the highest degree of confidentiality and accuracy in the handling of information received while discharging responsibilities.
•Perform the full range of supervisory functions/responsibilities including training and development, evaluations, hiring and discipline, mentoring, skill assessments, etc.

Additional Comments Candidate must be New York State resident or willing to relocate.

Salary will be commensurate with experience.

NYSIF has a telecommuting program.

Some positions may require additional credentials or a background check to verify your identity.

Contact Information

Name Lynn Hausman

Telephone

Fax 518-437-1618

Email Address hrexec@nysif.com

Address

Street PO Box 66699

City Albany

State NY

Zip Code 12206

 

Notes on ApplyingTo apply, please send application materials to hrexec@nysif.com.