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Years of Experience
Date Last Verified
ProfileAssistant General Counsel, Brokerage Legal Department (Financial Services) The candidate will directly support its stock plan administration business and be responsible for providing advice and counsel on a wide range of equity compensation, stock plan and business to business commercial matters. Will report to the Vice President, Associate General Counsel. Work with cross functional teams to review, draft and negotiate a variety of commercial agreements, including brokerage, financial reporting, technology, licensing, consulting, confidentiality and other business agreements. Provide legal support of projects and initiatives that are strategic to the business unit responsible for stock plan administration and participant experience platforms. Advise business on equity compensation administration products and services, particularly, management of legal and other risks, regulatory requirements, and products and services. Participate in periodic meetings with partners in front-line businesses, as well as compliance, risk management, finance, operation and technology to facilitate ongoing dialogue around strategic projects, initiatives, regulatory changes and emerging risks.
Qualification and Experience
The candidate should have an undergraduate degree from a four-year institution. Should have a J.D. degree from a highly respected law school, with superior academic credentials. Must be a member in good standing of a State Bar with 8+ years of experience in corporate/transactional, with a focus in financial services (securities/brokerage) or technology. In-house experience with brokerage firm a plus. Broad knowledge of and experience with the federal securities laws and regulations as well as FINRA and other SRO rules required.
Job ID: IRC129436