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Years of Experience
Date Last Verified
Attorney Responsibilities: Drafting and negotiating a variety of commercial agreements, including customer agreements, contracts, vendor agreements, loan documents, and NDAs. Drafting corporate documents as needed. Responding to inquiries from internal departments concerning trusts and estates, guardianships, powers of attorney, subpoenas, and court documents. Providing general legal advice to members of Commonwealth’s various business departments, including Compliance, Conferences and Events, Information Technology, and Operations. Assisting senior attorneys in our group with respect to a broad range of corporate legal needs, including legal research and investigation, corporate governance, and regulatory matters. Acting as a liaison with the firm’s Compliance department and assisting with the implementation of select policies and procedures.
Qualification and Experience
Qualifications: JD Degree from an accredited law school. 3+ years of relevant corporate experience. Superb written and verbal communication skills. Proven ability to manage multiple projects and meet deadlines. Creative problem-solving skills, attention to detail, and intellectual curiosity. Knowledge regarding the operations of a broker/dealer and Registered Investment Adviser, as well as the applicable federal securities laws and regulations, FINRA and MSRB rules a plus .
Job ID: W-2018-001
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