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Vice President, Associate Counsel
The candidate will report to a Vice President, Assistant General Counsel within the Advice, Litigation and Contracts group of the firm’s Compliance, Legal and Risk Department. Will require frequent interaction with the company’s compliance, operations and business development teams. Analyze compliance, litigation and business risks affecting the company as a broker-dealer and registered investment advisor. Provide guidance on developme... read more
Corporate Counsel, Compliance and Legal Affairs
The candidate will manage and work closely with four-member licensing team to ensure coordination and completion of proper business licensing requirements. Conduct and lead regular Licensing Governance meetings with key stakeholders to ensure appropriate coordination and understanding across the enterprise. Assist with interpretation of jurisdictional licensing requirements; coordinate with internal / outside counsel as neede... read more
Financial Planner - Private Wealth Management
The candidate will provides Private Client Reserve clients with the opportunity to obtain objective, comprehensive and needs-based advice for building and preserving wealth and transferring to future generations. Will provide the following comprehensive planning services to affluent clients: asset allocation, wealth management, retirement planning, education funding, estate planning, tax strategies, investment planning, stock o...
Debt Finance Attorney
The candidate should have preferable 2-5 years of BigLaw experience in a transactional practice and strong academic backgrounds from nationally recognized schools. Must be licensed to practice in California. Must have a J.D. from an ABA-approved law school and be an active member in good standing of the Bar.
The candidate will work within the Governance, Risk, and Compliance (GRC) business unit. Will report to the Assistant Vice President, Advisory Compliance and will primarily be responsible for the coordination and execution of a compliance oversight program for the corporate investment adviser. Oversee a team responsible for several functions within Advisory Compliance, primarily including oversight of the Third-Party Asset Management Program and Investm...
Vice President, Associate General Counsel
Duties: Assist other attorneys in the department, including senior attorneys, Deputy General Counsel and Chief Legal and Risk Officer, with the provision of legal advice with respect to compliance with state brokerage and investment advisory laws and regulations. Report to a Senior Vice President, Associate General Counsel within the Advice, Litigation and Contracts group of the Compliance, Legal and Risk Department and will provid...