Employment Law - General Attorney in Fort Mill, SC

In-House

Fort Mill, SC

Employment Law - General Attorney in Fort Mill, SC

Attorney

Min 7 yrs required

No

Job Title: VP, Assistant General Counsel

Job Responsibilities:
- Evaluate legal, financial, regulatory, and reputational risk in investigative referrals and escalate to senior management as needed; act as a liaison with other departments, including Human Resources, to coordinate investigative efforts.
- Manage a team of investigators and provide guidance and oversight on the team’s investigations; conduct, coordinate, and supervise significant investigations.
- Identify, advance, and oversee productivity and efficiency initiatives within the group.
- Provide leadership to address key strategic initiatives and opportunities, working in collaboration with multiple functions and business channels.
- Consult and coach HR team members and business unit managers on company policy interpretation and investigations and provide solution-oriented recommendations and partner with the HRBP in the execution of solutions.

Education and Experience Information:
- Minimum of seven years’ experience conducting sound, process-driven investigations.
- Strong knowledge of employment law, with demonstrated experience in investigative principles.
- General knowledge of financial services industry regulation, ., at a bank, broker-dealer, credit union, insurance company.
- Experience managing a team.
- Ability to travel as needed.

Requirements:
- Excellent oral and written communication skills, including substantial experience in conducting interviews.
- Possess superior judgment and aptitude for evaluating investigative referrals in a timely and substantive manner with strong interpersonal skills and an ability to interact with senior business and compliance partners across the firm.
- Proven ability to multi-task.
- Deep analytical skills with demonstrated ability to work within the "gray" and make sound assessments and provide effective recommendations for varying situations/circumstances.
- Effective, active listening skills.
- Demonstrated ability to work independently and across group settings with focus on adjusting to different work styles and personalities.
- Rhetorically sensitive - knows what to say and when, as well as when to involve own manager.
- Ability to prioritize workload, remain flexible, accept feedback and adjust accordingly under tight deadlines.

Preferences:
- Juris Doctor degree, with admission in good standing to a State Bar.
- Knowledge of California employment laws and regulations.
- Experience at a broker/dealer, securities-related regulatory entity, law enforcement agency, or a law firm, with significant exposure to investigation practices and procedures involving misappropriation, theft, fraud, etc.

Salary Information:
- Pay Range: $163,725-$272,875/year.
- 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, designed to support your success at work, at home, and at play – such as 401K matching, health benefits, employee stock options, paid time off, volunteer time off, and more.

Company Overview:
The company was founded on the principle that the firm should work for advisors and institutions, and not the other way around. Today, the company is a leader in the markets they serve, serving more than 23,000 financial advisors, including advisors at approximately 1,000 institutions and at approximately 580 registered investment advisor firms nationwide. The company is committed 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. It fosters creativity and growth, providing a supportive and responsive leadership team. The company values workplace equality and embraces diverse perspectives and backgrounds, encouraging employees to care for their communities. The Total Rewards package includes a mix of traditional and unique benefits, perks, and resources designed to enhance life both at work and at home.

Information on Interviews:
The company will only communicate with a job applicant directly from an official company 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.