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Years of Experience
Date Last Verified
Director, Associate General Counsel The candidate will help partner with the Retail Financial Services (RFS) business with an emphasis on providing fast-paced legal counsel and partnership for direct distribution and digital initiatives under the Chief Digital Officer for company. Will assist in driving the digital strategy and roadmap by recommending key legal and/or business strategies to management; advising senior management and business segments on various aspects of their business and enhance understanding of corresponding legal ramifications. Work closely with peers within Advocacy and Oversight and Retail Financial Services (RFS) to ensure the digital strategy is driven in accordance with all relevant laws and regulations and will work with business area leadership to understand plans and business needs and generate near-term solutions, as well as provide recommendations for longer-term strategies. Support RFS's digital initiatives and general RFS securities legal needs, including: Support for the launch and maintenance of digital advice platforms and tools (e.g., online advice services as well as various tools designed for online goal planning). Support digital marketing efforts that stretch across RFS platforms (Advice, IRA, Brokerage, Bank, Insurance, 529) and ability to act as single point of contact for digital business (coordinating with other attorneys supporting RFS businesses and other SMEs as needed). Support on e-commerce matters and initiatives across company, including e-delivery, ADA web compliance, cross-selling considerations in digital space, emerging technologies (robo advice, electronic funds transfer and payment technology, blockchain technology and other Fintech developments). Anticipate and address complex legal issues, including providing legal advice on products, service, plans, transaction, regulatory and legislative developments. Lead project teams for Law Area, A&O or business unit area initiatives. Assess complex multi-issue matters, generally requiring cross-area coordination. Present to senior and executive levels of management. Coordinate outside counsel on matters pertaining to assigned unit area.
Qualification and Experience
The candidate should have a J.D. degree from an ABA accredited laws school and member in good standing of a State Bar. Must have demonstrated experience as counsel in a broker-dealer and investment adviser practice at a major law firm, securities regulator or financial institution (10+ years of experience is preferred). Understanding of legal, regulatory and risk considerations as well as evolving industry practices re: structuring, marketing and maintenance of digital offers is required. Experience supporting retail financial services business in a digital environment, experience with banking, insurance, 529 and ERISA/IRC preferred.
Job ID: 1709251
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