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Years of Experience
Date Last Verified
ProfileAssociate General Counsel (Business and Regulatory) Responsibilities: Assisting the firm’s General Counsel in handling business and contractual matters, including: Reviewing, negotiating and drafting contracts with customers of the firm. Handling legal inquiries from the firm’s sales representatives and new accounts group. Negotiating contracts with outside vendors. Handling legal aspects of employment disputes. Drafting disclosures, account documentation and website materials. Crafting written instructions for programmers and technology staff to respond to new regulations or to launch new business lines.
Qualification and Experience
Qualifications: 5-10 years post-J.D. experience at a law firm, financial services regulatory agency, exchange or broker-dealer. Experience in reviewing, negotiating and drafting contracts and/or handling brokerage regulatory matters. Member in good standing of the bar of any U.S. state or the District of Columbia. Solid academic background. High degree of comfort and fluency with computers and technology, and understanding of how technology is applied to business and regulatory problems. Outstanding oral and written communication skills. Ability to work in a small-team environment and to work independently and to multi-task with minimal supervision.