Securities Regulation Advisor - #100371

Insurance Fund, State


Date: 04/19/2022 21:00 PM

City: Albany, New York

Salary: $150,000 - $180,000 / year

Contract type: Full Time

Work schedule: Full Day


  • 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.




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