Assistant General Counsel, Regulatory Affairs

Min 8 yrs required

Full-time

No

Assistant General Counsel, Regulatory Affairs

Raymond James seeks a talented team-player for its Assistant General Counsel role in Regulatory Affairs, in which the successful candidate will manage regulatory and enforcement matters (including SEC, FINRA, and state regulatory inquiries), lead internal investigations, and partner with other members of the team in advising the Firm regarding regulatory affairs. The individual will oversee outside counsel on certain matters and may lead major projects with significant business impact involving cross-functional teams.

Responsibilities:
• Represent the firm before government agencies, regulators, and SROs in connection with investigations, inquiries and exams.
• Conduct internal reviews and investigations which may require travel.
• Provide advice, counsel and recommendations regarding regulatory matters.
• Partner with business and control functions including legal, compliance, supervision, risk, and audit to manage the Firm’s responses to regulatory matters and consider actions to enhance policies, procedures, and controls.
• Plan, assign, monitor and lead the work of others.
• Review performance and evaluate results achieved by others.
• Coach and mentor others.
• Oversees work of support team in connection with assignments.
• Balance competing resource and priority demands.
• Prepare and deliver written and oral presentations to management and senior management on legal issues.
• Maintain proficiency in securities regulatory law.
• Operate standard office equipment and use required software applications.
• Perform other duties and responsibilities as assigned.

Qualifications:
•
• Experience with a law firm, regulator/SRO, and/or in-house in regulatory enforcement practice involving financial institutions strongly preferred; OR any equivalent combination of experience, education, and/or training approved by Human Resources.
• Member in good standing of at least one State Bar; ability to obtain FL Authorized House Counsel (if not a member of FL Bar) within six months of hire.

Salary Range

The salary range for this position is $160,000 - $220,000, depending on the candidate’s education, work experience, and geographic location (CO, NY, CA, WA).


Overview of Assistant General Counsel, Regulatory Affairs Role:

The Regulatory Affairs team within the Raymond James Legal Department represents the firm in regulatory inquiries and enforcement matters involving all lines of business, conducts certain internal investigations, and collaborates with other legal and compliance teams to ensure consistency and best practices in Raymond James’ approach to regulatory matters. Raymond James seeks a talented team-player for its Assistant General Counsel role, in which the successful candidate will manage regulatory and enforcement matters (including SEC, FINRA, and state regulatory inquiries), lead internal investigations, and partner with other members of the team in advising the Firm regarding regulatory affairs. The individual will oversee outside counsel on certain matters and may lead major projects with significant business impact involving cross-functional teams.

Responsibilities:
• Represents the firm before government agencies, regulators, and SROs in connection with investigations, inquiries and exams.
• Conducts internal reviews and investigations which may require travel.
• Provides advice, counsel and recommendations regarding regulatory matters.
• Partners with business and control functions including legal, compliance, supervision, risk, and audit to manage the Firm’s responses to regulatory matters and consider actions to enhance policies, procedures, and controls.
• Plans, assigns, monitors and leads the work of others.
• Reviews performance and evaluates results achieved by others.
• Coaches and mentors others.
• Oversees work of support team in connection with assignments.
• Balances competing resource and priority demands.
• Prepares and delivers written and oral presentations to management and senior management on legal issues.
• Maintains proficiency in securities regulatory law.
• Operates standard office equipment and uses required software applications.
• Performs other duties and responsibilities as assigned.

Qualifications:
•
• Experience with a law firm, regulator/SRO, and/or in-house in regulatory enforcement practice involving financial institutions strongly preferred; OR any equivalent combination of experience, education, and/or training approved by Human Resources.
• Member in good standing of at least one State Bar; ability to obtain FL Authorized House Counsel (if not a member of FL Bar) within six months of hire.

Raymond James Guiding Behaviors
At Raymond James our associates use five guiding behaviors (Develop, Collaborate, Decide, Deliver, Improve) to deliver on the firm's core values of client-first, integrity, independence and a conservative, long-term view. We expect our associates at all levels to:
• Grow professionally and inspire others to do the same
• Work with and through others to achieve desired outcomes
• Make prompt, pragmatic choices and act with the client in mind
• Take ownership and hold themselves and others accountable for delivering results that matter
• Contribute to the continuous evolution of the firm

At Raymond James – as part of our people-first culture, we honor, value, and respect the uniqueness, experiences, and backgrounds of all of our Associates. When associates bring their best authentic selves, our organization, clients, and communities thrive. The Company is an equal opportunity employer and

Medical, dental, vision, retirement, paid time off

Legal research, litigation, case management, risk assessment, communication, time management, leadership

Juris Doctorate

Interested candidates should submit their resume and cover letter through the company's website or email to the contact person listed below.

Qualification and Experience Juris Doctorate with excellent academic credentials and minimum eight (8+) years of progressively responsible experience in relevant practice area(s).

Legal