Assistant General Counsel

4-20 yrs required

Full-time

No

A corporate company in Woodland Hills, CA, is seeking an Assistant General Counsel to report directly to the Chief Counsel, Group Retirement and Institutional Markets Services. This role involves providing legal expertise and guidance on various issues and regulatory inquiries related to the firm's broker-dealer and registered investment adviser operations. The Assistant General Counsel will collaborate with senior business and compliance professionals, participate in regulatory examinations, and ensure compliance with federal, state, SEC, and FINRA rules and regulations. This position also requires a strong leadership role in fostering a positive work environment and building strategic alliances.

Duties:

• Handle a wide array of legal issues and regulatory inquiries related to the firm's dually registered broker-dealer and registered investment adviser.
• Collaborate with senior business and compliance professionals to address daily legal issues, support routine exams, and handle for-cause matters with state/federal securities regulators and self-regulatory organizations.
• Provide legal advice and counsel on the application of federal, state, SEC, and FINRA rules and regulations.
• Act as a People Manager and Senior Leader, enhancing the employee experience.
• Establish cross-functional alliances to further the organization's objectives and market position.
• Offer strategic and tactical legal advice and transaction support for broker-dealer and investment advisory matters.
• Provide proactive risk assessments and status updates of regulatory issues for executive management.
• Participate in regulatory examinations and prepare responses to inquiries regarding broker-dealer and investment advisory processes, procedures, and transactions.
• Collaborate with stakeholders to develop and implement remediation plans for examination findings.
• Assist in drafting and updating Form ADV disclosure brochures.
• Review written complaints to determine the need for required regulatory filings (., U4/U5 disclosures and 4530 event filings) and assist with compliance filings.
• Review vendor, product sponsor, sales/marketing materials, and client forms and agreements.
• Participate in the review and consideration of new products, programs, and services offered by the broker-dealer and investment advisory businesses.
• Draft and/or review supervisory procedures and compliance policies and procedures.

Requirements:

• Preferred candidates will have experience working at a large national law firm or a large financial services company.
• Experience in the financial/investment services industry is a plus.
• JD degree required.
• Must have admission to a State Bar Association and be currently in good standing.

Education:

• JD degree

Certifications:

• Admission to a State Bar Association and currently in good standing

Skills:

• Legal expertise in broker-dealer and investment advisory matters.
• Strong understanding of federal, state, SEC, and FINRA rules and regulations.
• Leadership and people management skills.
• Regulatory examination experience.
• Drafting and reviewing legal documents.
• Compliance and risk assessment.
• Knowledge of Form ADV disclosure brochures.
• Understanding of regulatory filings.
• Review and assessment of financial services materials.
• Policy and procedure drafting and review.

Legal