Corporate - Asset/Investment Management Attorney / Corporate - Securities and Capital Markets Attorney in Fort Mill, SC

In-House

Fort Mill, SC

Corporate - Asset/Investment Management Attorney / Corporate - Securities and Capital Markets Attorney in Fort Mill, SC

Attorney

5-7 yrs required

No

Job Title:
VP AGC – Wealth Management Platforms, Programs & Advisory Attorney

Job Responsibilities:
- Counsel wealth management business teams throughout all stages of developing new initiatives, including creating or enhancing platforms and programs, supporting new affiliation and distribution models, and drafting related agreements and disclosures.
- Provide day-to-day legal support for the financial services business, including legal analysis and advice concerning compliance with applicable rules, regulations, and legal risks primarily related to the investment advisory business, while also supporting the broker-dealer and custodial businesses.
- Review, revise, and develop internal policies and procedures in response to business initiatives and regulatory developments.
- Conduct legal research concerning compliance with applicable laws, rules, and regulations.
- Interact with other members of the Legal team and key business units such as Operations, Supervision, Compliance, and Risk.
- Support the Legal team’s efforts to consistently review and improve policies and processes to enhance efficiency and repeatability.

Education and Experience Information:
- The position requires 5-7 years of experience in dealing with issues under the Investment Advisers Act of 1940, the Securities Exchange Act of 1934, as well as FINRA and SEC rules and regulations, along with related federal and state securities laws.
- Experience in drafting single or master agreements for retail investors to open accounts in various brokerage and advisory programs, or experience connecting brokerage relationships with wrap programs, is highly beneficial.
- An understanding of the regulatory landscape applicable to registered investment advisers and broker-dealers is required.
- Strong working knowledge of federal securities laws, rulemaking processes, regulatory notices, interpretive guidance, and agency interpretations is essential.
- Proficiency in legal writing, contract drafting, and written communication skills is necessary.
- Proficiency with MS Word, Excel, PowerPoint, and Outlook is required.

Salary Information:
Pay Range: $163,725-$272,875/year
The actual base salary varies based on factors including but not limited to relevant skill, prior experience, education, base salary of internal peers, demonstrated performance, and geographic location. Additionally, the Total Rewards package is highly competitive and designed to support success at work, home, and play, including 401K matching, health benefits, employee stock options, paid time off, volunteer time off, and more.

Company Overview:
The company is a leader in the markets they serve, with a commitment to the advisor-mediated model and the belief that Americans deserve access to personalized guidance from a financial professional. The company offers an integrated platform of cutting-edge technology, brokerage, and investment advisor services. They emphasize independence, allowing advisors and institution leaders to choose the business model, services, and technology resources that suit their business needs.

Join the company where potential meets opportunity, fostering creativity and growth, providing a supportive and responsive leadership team, and offering limitless career potential. The company is committed to workplace equality and community focus, encouraging employees to make a difference by turning life’s aspirations into financial realities.

Information on Interviews:
The company will only communicate with job applicants directly from their official email address and will never conduct an interview online or in a chatroom forum. During an interview, the company will not request any form of payment from the applicant or information regarding an applicant’s bank or credit card. For any questions regarding the application process, applicants are encouraged to contact the company’s Human Resources Solutions Center.