FOLIOfn, Inc. provides investment technology and other services to the financial services industry and through its wholly-owned broker-dealer subsidiary, Folio Investments, Inc. The firm has more than 19 patents covering an array of financial services and products and has been, and continues to be, a pioneer in a number of areas in the investing and wealth management fields. The firm also has two wholly-owned registered investment advisors through which it offers a variety of advisory services and technology to support the offerings of unaffiliated investment advisors. Folio’s main office is in McLean, VA.
The Broker-Dealer Regulatory Attorney (“BD Attorney”) will support the business operations and enhance the compliance program for the firm’s self-clearing broker-dealer which provides execution, clearing and custodial services to individual investors and other investment professionals online. He or she also may be called upon to engage in legal or compliance matters that arise with respect to services provided to investment adviser clients. The BD Attorney will play a critical and highly involved role as a member of the firm’s legal and compliance team and will strengthen the firm’s objective of managing compliance risk effectively and within the company’s overall risk tolerance. This person also will interact frequently with Federal and state regulators, auditors, examiners and other external parties.