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In-House
Attorney
Finance - Banking
Litigation - Whistleblower - CFTC
Trusts and Estates
Min 10 yrs required
Trust Investment and Registered Investment Adviser Senior Counsel The candidate will report directly to the Associate General Counsel. The attorney in this role will exercise independent legal judgment on trust investment management and investment adviser regulatory and contractual issues, balanced against business risks, fiduciary risks, and policy considerations in consultation with management. Will interact with employees, chief compliance officers, and risk management personnel with regard to all activities of the Wealth Management businesses, including various banking, fiduciary and investment activities, matters of federal banking law and regulation, sophisticated trust, estate and guardianship administration, investment matters and tax return preparation. The attorney will be expected to perform legal research and produce written legal memoranda, as well as review legal documents such as wills, trusts and other estate planning documentation, banking agreements, various marketing material, partnership and corporate agreements, and real estate deeds and contracts. Will also work closely with the RIA firms, chief compliance officers, and risk management personnel, provide advice on various legal and regulatory issues confronting the Bank and registered investment advisers, analyze regulatory, investment and trading issues, review and negotiate client, subadviser, and vendor contracts, consult on marketing materials, provide training, provide audit and examination support, assist in updates to Form ADV, participate in new product initiatives, prepare for and respond to events such as employee terminations and departures (including issues arising from restrictive covenants), address customer concerns or complaints, participate in the evaluation of risk and operational matters, and provide guidance to internal committees. Duties may include corporate governance work and review of compensation programs. In addition, the attorney will be expected to take on various responsibilities supervising external counsel, participating in mergers and acquisitions, performing due diligence, participating in internal training seminars, reviewing policies, directives and procedures, taking part in various Legal Group activities, and proving support to the various Wealth Management businesses in a flexible manner based upon the business needs and the varying time commitments of other team members. The attorney must be able to expand his or her skill-set to provide advice in other legal areas affecting the Wealth Management businesses, including advice in cross-border matters (e.g., foreign registration and client eligibility) involving foreign client opportunities or potentially working with foreign affiliates, and to represent the Wealth Management Legal Group in special projects and initiatives. The attorney working in this position will be asked to participate in enterprise-wide projects and to assist in providing legal services to affiliates.
Qualification and Experience
Qualifications: Qualified candidates must have a J.D. degree and ten or more years of experience in trust law and/or advising registered investment advisers. In-depth knowledge of trust law and/or the Investment Advisers Act of 1940 and FINRA rules is required. Candidates with experience advising the investment management businesses affiliated with banks and/or large financial institutions will be preferred. Excellent analytical skills as well as excellent communication (both written and oral) and interpersonal skills are required.
1500007374.
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