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Years of Experience
Date Last Verified
Associate General Counsel - Products Duties: Performs human resource management activities that include identifying performance problems, approving recommendations for remedial action, evaluating performance, and interviewing Legal department staff. Plans, assigns, monitors, reviews, evaluates the work of Legal department staff. Coaches and mentors others. Provides guidance and direction to Legal department staff by developing continuing education programs and career development opportunities. Provides legal advice supporting the firm’s various product areas that distribute and/or manufacture product for the benefit of the Private Client Group. Products may include, without limitation, insurance and annuities, packaged products (i.e. funds), privately placed products such as alternative investments and structured products, institutional fiduciary solutions, retirement product solutions, derivatives, and various exchange-traded products. Interprets, applies and recommends changes to organizational policies and procedures. Reviews progress of assignments with Senior Management. Balances conflicting resource and priority demands. Manages all legal matters that involve the organization and its subsidiaries. Keeps management apprised of developments. Determines the allocation of legal reserves when applicable. Oversees the maintenance of case status reports, if appliciable. Assists others in developing, preparing and presenting case theories and strategies. Provides advice, counsel and recommendations to Senior Management on corporate action. Prepares and delivers written and oral presentations to Senior Management on legal issues. Maintains currency in corporate and financial securities regulatory law.
Qualification and Experience
Qualifications: JD Degree with excellent academic credentials and 10+ years of progressive corporate litigation and/or financial securities regulatory legal experience. Experience in all levels of the judicial court system, or experience handling inquires and investigation from authorities governing Self Regulating Organization (SRO) entities. or Any equivalent combination of experience, education, and/or training approved by Human Resources. Current membership in the Florida Bar or admission within 12 months of hire. Knowledge of: Advanced concepts, principles and practices of corporate and regulatory law and arbitration. Advanced investment concepts, practices and procedures used in the financial securities industry. Principles of banking and finance and securities industry operations. Financial markets and products. Knowledge of securities law, and experience drafting and negotiating transaction agreements and product distribution agreements,preferred. Skill In: Managing a large volume of complex corporate legal functions. Determining the allocation of legal reserves, if appliciable. Developing, preparing and presenting case theories and strategies, if applicable. Preparing and delivering written and oral presentations on legal issues to associates of all levels. Operating standard office equipment and using required software applications, including legal case management software and Microsoft office. Ability to: Plan, assign, monitor and lead the work of others. Manage, coach and mentor others. Review performance and evaluate results achieved by others Interpret, apply and recommend changes to organizational policies and procedures. Provide legal advice, counsel and recommendations to Senior Management on significant issues. Balance conflicting resource and priority demands. Partner with other functional areas to accomplish objectives. Facilitate meetings ensuring that all viewpoints, ideas and problems are addressed. Gather information, identify linkages and trends and apply findings to assignments. Read, interpret, analyze and apply complex legal information. Interpret and apply policies in order to identify and recommend changes as appropriate. Prioritize and manage multiple priorities in a fast-paced, dynamically changing environment. Communicate effectively, both orally and in writing. Work independently as well as collaboratively within a team environment. Handle stressful situations and a heavy diverse case load. Provide a high level of customer service in a calm and professional manner. Negotiate resources. Establish and maintain effective working relationships at all levels of the organization.
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