Corporate - General Attorney / Government - General Attorney in Richmond, VA

In-House

Richmond, VA

Corporate - General Attorney / Government - General Attorney in Richmond, VA

Attorney

Min 8 yrs required

No

Summary: Retail Brokerage Associate General Counsel is a full-time position available in 4 locations, including Charlotte, North Carolina, Atlanta, Georgia, Richmond, Virginia, and Washington, District of Columbia. The job falls under the category of Audit, Risk, Legal, and Finance and was posted on April 1, 2025. The role requires fluency in English and the ability to work first shift. The primary responsibility of this position is to provide legal and regulatory advice to retail broker-dealer and investment adviser affiliates related to the regulation of securities products and investment advisory services to business constituents. The role may also involve providing legal advice to an affiliated insurance agency.

Salary Information:
- Regular teammates working 20 hours or more per week are eligible for benefits, including medical, dental, vision, life insurance, disability, tax-preferred savings accounts, and a 401k plan.
- Depending on the position and division, this job may also be eligible for Truist’s defined benefit pension plan, restricted stock units, and/or a deferred compensation plan.
- All regular teammates also receive no less than 10 days of vacation (prorated based on date of hire and by full-time or part-time status) during their first year of employment, along with 10 sick days (also prorated), and paid holidays.
- Salary will be commensurate with experience and qualifications.

Job Title: Retail Brokerage Associate General Counsel

Experience:
- Juris Doctorate degree from an ABA accredited law school and licensed to practice law in good standing.
- 8 years of post-bar experience in a law firm, government, and/or corporate settings.

Responsibilities:
- Provide legal and regulatory advice relating to all ongoing activities of Truist Bank’s affiliated retail broker-dealer, registered investment adviser and insurance agency.
- Provide counsel to the line of business, compliance and regulatory reporting functions in the drafting of disclosures, and providing responses to regulatory inquiries.
- Take responsibility for and manage the resolution of complex legal issues where analysis requires identification and evaluation of multiple factors.
- Coordinate with management and other members of the legal and compliance departments to support resolution of complaints, arbitrations, litigation and other legal matters.
- Conduct and/or coordinate legal research with regard to retail broker-dealer, registered investment adviser and insurance laws, rules and regulations (SEC, FINRA, and state law) rules regarding suitability, best interest, supervision, books and records issues, client transaction requirements, and other topics relevant to supporting the business needs of a nationwide retail broker-dealer, registered investment adviser and insurance agency.
- Interface on a continuous basis with colleagues in legal, compliance, supervision, finance, risk, and other control teams to maximize efficiencies, develop cross-business best practices and facilitate resolution of issues.
- Coordinate with applicable stakeholders to provide legal analysis and advice with respect to new and existing laws, the development/enhancement of processes and procedures, the drafting of disclosures, and regulatory examinations, audits, and inquiries.
- Provide counsel with respect to applicable state laws and regulations, including securities and insurance licensing requirements.
- Provide counsel with respect to compliance with Regulation Best Interest, Form CRS, FORM ADV requirements and the SEC RIA Marketing Rule.
- Fully support the separate Broker Dealer, RIA and Insurance Agency corporate secretarial functions, including drafting of agenda, resolutions and review of minutes.
- Educate business partners and work cross-functionally with compliance, supervision, risk and business partners to facilitate compliance with all applicable laws, rules and regulations.
- Review and draft agreements, memoranda, disclosures, policies and procedures and other documentation relating to the sale and offering of securities and insurance products and RIA channel investment advice.
- Review and provide advice on communications to sales force, customers, and distribution partners relating to regulatory, operational, financial, and administrative aspects of the business.
- Partner with senior business management and operations personnel to stay apprised of pertinent legal and regulatory developments.
- Participate in and lead departmental and cross-functional working groups in identified areas of legal expertise or development.

Qualifications:
- Juris Doctorate degree from an ABA accredited law school and licensed to practice law in good standing.
- 8 years of post-bar experience in a law firm, government, and/or corporate settings.
- Superior written and verbal communication skills.
- Ability to prioritize matters, utilize time management skills, and move between matters fluidly.
- Ability to handle a heavy workload, manage stress effectively and meet critical deadlines.
- Able to work autonomously without close supervision.
- Team-oriented mentality and excellent interpersonal skills.
- Demonstrated proficiency in basic computer applications, such as Microsoft Office software products.

Other Requirements/Working Conditions:
- Sitting: Occasionally (Less than 25% of the time).
- Standing: Occasionally (Less than 25% of the time).
- Walking: Occasionally (Less than 25% of the time).
- Bending: Occasionally (Less than 25% of the time).
- Lifting: Up to 10 lbs.
- Visual/Audio/Speaking: Able to access and interpret client information received from the computer and able to hear and speak with individuals in person and on the phone.
- Manual Dexterity/Keyboarding: Able to work standard office equipment, including PC keyboard and mouse, copy/fax machines, and printers.
- Availability: Able to work all hours scheduled, including overtime as directed by manager/supervisor and required by business need.
- Travel: Up to 25%.

Benefits:
- All regular teammates (not temporary or contingent workers) working 20 hours or more per week are eligible for benefits, though eligibility for specific benefits may be determined by the division of Truist offering the position.
- Truist offers medical, dental, vision, life insurance, disability, accidental death and dismemberment, tax-preferred savings accounts, and a 401k plan to teammates.
- Teammates also receive no less than 10