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In-House
Attorney
Corporate - Securities and Capital Markets
Min 4 yrs required
VP, Assistant General Counsel - Wealth Management, Investment Solutions The candidate will provide legal advice and support to the Investment Solutions business team, with a focus on Managed Investments, including coverage of SEC regulatory and Bank regulatory issues impacting investment advisers. Will advise the business on a wide range of legal issues relevant to discretionary investment, asset allocation and due diligence. Support the business on new product development and launches. Provide insight on product distribution to clients. Advise on legal issues for the managed account platform. Work closely with other members of the legal department, and other control functions (e.g., Compliance, Risk) to identify and resolve issues impacting the Investment Solutions business. Coordinate as needed with other divisions of the Bank. Should have a J.D. degree or educational equivalent and be in compliance with all relevant licensing requirements including the requirements of the jurisdiction where the role will be located prior to commencement of employment. Must have 5+ years of relevant law firm, financial institution or comparable experience. Knowledge of investment management legal issues, including SEC or Bank regulatory investment advisory issues required. Familiarity with wealth management business a plus. Excellent document drafting skills are required.
Req #: 180086577_2
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