Cross Border Attorney
The candidate will advise branch personnel, Compliance and Risk as well as senior International and business management on day-to-day issue of US and non-US securities, broker-dealer, and investment advisory laws in connection with the delivery of wealth management solutions to high net worth and ultra-high net worth foreign and domestic clients holding assets in the US. Will support strategic initiatives and projects with affiliates globally, typically in a cross-border context. Research, draft, and maintain Country Rules covering the provision of financial services to clients throughout the world. Act as point of entry for legal and regulatory matters from branches, supporting the business in implementing the regulatory framework and managing day to day broker/dealer issues with respect to documentation, referrals, and all rules relating to international wealth management business. Work with outside counsel and colleagues in multiple countries to draft and maintain rules for the cross-border provision of financial services from the US. Advice on the maintenance of FINRA-registered office locations in foreign jurisdictions, working with outside counsel to advise on all aspects of compliance with laws of the foreign jurisdictions, including litigation and regulatory risks. Organize legal research used by the Cross-Border & International Legal team and assist with managing group projects.