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Carrot Peelers, Sales, Personality and Your Job Search
In-House
Attorney
Corporate - Asset/Investment Management
Corporate - General
Min 7 yrs required
Director Legal Counsel The candidate will be the primary legal advisor for the inception, design and launch of new retail broker-dealer and investment adviser products and services, including due diligence of strategic acquisition opportunities. Will require expertise in the relevant regulatory regimes as well as an ability to work reciprocally and creatively with business, Compliance and Risk Management colleagues, including advising them on aspects of company’s processes and procedures for evaluating and approving new products and services. Post-launch, will be the lead counselor for these same products and services, advising the business, Compliance, Risk Management, Internal Audit and other enterprise counsel on aspects of these processes, including, for example, the impact of new or existing regulations and other risk issues that might arise in the future. Beyond that, will act as a subject matter authority and a resource on specific new laws and regulations, analyzing and synthesizing new requirements to assess their impact on company’s businesses and identify important questions and decisions.
Qualification and Experience
The candidate should have 7+ years’ experience practicing law at a major law firm representing financial services firms or in-house with a large broker-dealer and/or investment adviser. Additional experience as a staff attorney with the Securities and Exchange Commission, FINRA or a state securities regulator would be very useful, though not required. Must be thoroughly familiar with the Investment Advisers Act, the Securities Exchange Act and FINRA Rules and state laws and regulations relevant to broker-dealers and investment advisers, including an excellent practical understanding of their everyday applicability to business priorities. Must have a working knowledge of the Enterprise Risk Management framework applied by large financial services firms for the identification, measurement, mitigation and resolution of key risks. Will need excellent verbal and written communications skills, suitable for briefing very senior business executives. Will need to have a knack for communicating in ways that non-lawyer business partners can appreciate and understand. Building trust and rapport with your business clients will be a primary goal, as will setting the expectation that will be a highly engaged and responsive partner in their work.
Requisition ID: 2019-49909
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