Assistant General Counsel -Registered Investment Advisor

Job Responsibilities

• Advise on the creation, maintenance, and distribution of discretionary and non-discretionary advisory account programs, including Unified Managed Account (UMA) structures.
• Counsel on FINRA rules and Investment Advisers Act of 1940 requirements, including fiduciary duty, conflicts management, disclosures, marketing, and program documentation for retail advisory clients.
• Support the design and ongoing governance of advisory solutions across bank, broker-dealer, and registered investment adviser platforms.
• Participate on special projects, including migration of Bank managed accounts to an RIA model with Bank custody retained.
• Partner on initiatives to launch new non-discretionary advisory strategies and related program enhancements.
• Enable international strategy distribution by advising on incorporating advisory strategies for non-U.S. clients into existing RIAs.
• Negotiate and draft agreements, including tailored investment management agreements and third-party manager agreements.
• Prepare and maintain regulatory disclosures and documentation, including Form ADV brochures and related materials for relevant entities.
• Collaborate with other Legal colleagues and control partners to identify, escalate, and resolve issues impacting the Investment Solutions business.
• Build strong relationships with senior leaders and stakeholders across Asset & Wealth Management to drive timely, commercially thoughtful outcomes.

Required Qualifications, Capabilities, And Skills

• 4+ years of investment management legal and regulatory experience (law firm, investment manager serving retail clients, and/or regulator/government agency).
• In-depth knowledge of the Investment Advisers Act of 1940 and related SEC rules applicable to advisory programs.
• In-depth knowledge of FINRA rules, including sales practices, suitability, and Regulation Best Interest (Reg BI).
• Demonstrated ability to advise on conflicts, fiduciary considerations, disclosures, and marketing practices for retail advisory offerings.
• Experience supporting discretionary and/or non-discretionary advisory strategies and managed account program structures.
• Strong drafting skills across client-facing and platform documentation, disclosures, and negotiated agreements.
• Prominent judgment in balancing regulatory requirements with business objectives in a fast-paced environment.
• Excellent analytical and problem-solving skills, with an ability to identify key issues and provide actionable guidance.
• Strong organizational skills and ability to manage multiple matters and stakeholder expectations simultaneously.
• Collaborative mindset and ability to partner effectively with Compliance, Risk, and other control functions.
• Bar admission required; attorney must be licensed and in good standing in the state/jurisdiction of the role (or compliant with applicable in-house counsel registration rules).

Preferred Qualifications, Capabilities, And Skills

• Part 9 bank fiduciary experience (or comparable bank fiduciary advisory experience).
• Familiarity with UMA structures and multi-manager/third-party manager program arrangements.
• Experience supporting custody and account administration considerations where custody remains with a bank while advice is delivered through an RIA.
• Exposure to cross-border/international advisory distribution considerations (non-U.S. clients and strategies).
• Track record of supporting new product launches and complex change initiatives (migrations, model changes, platform integrations).
• Comfort working with AI capabilities and solutions, with curiosity and willingness to learn and apply new tools in legal workflows.