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In-House
Attorney
Finance - General
Litigation - General (consumer)
Min 5 yrs required
Vice President, Associate Counsel The candidate will report to a Vice President, Assistant General Counsel within the Advice, Litigation and Contracts group of the firm’s Compliance, Legal and Risk Department. Will require frequent interaction with the company’s compliance, operations and business development teams. Analyze compliance, litigation and business risks affecting the company as a broker-dealer and registered investment advisor. Provide guidance on development of policies related to new and changing regulations affecting the company’s service offerings. Deliver quality legal advice to internal partners and senior management on general broker-dealer issues, including both sales practice and financial/operations matters. Serve as counsel to standing and ad hoc firm committees and working groups. Manage relationships with outside counsel. Juris Doctor degree is required. Admission to the State Bar of California or eligibility to practice in the State as Registered In-house Counsel. Should have 5+ years of experience working at a regulatory entity, law firm, or in-house. Experience with the Securities Exchange Act of 1934, rules and regulations of self-regulatory organizations and basic corporate law principles is needed. Experience with multiple products and asset types are strongly preferred. Knowledge of the Investment Advisers Act of 1940 is a plus. Strong research, writing and organizational skill is needed.
Job ID: R-002246
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