Assoc General Counsel III - Broker Dealer

Opportunity Overview

This position on the Legal-US Business Segments and Branch Support team will partner with business, Compliance, Risk, and other Legal team members to provide legal advice and guidance on priorities on the Firm Portfolio or efforts within Digital Product Management or Operations that relate to the core functions of a broker-dealer. This opportunity will afford candidates with demonstrated broker-dealer experience to be part of a culture that inspires the individual and supports him or her.

What You'll Do

• Navigate complex issues and partner with legal, compliance, and risk colleagues to provide business-focused and risk-informed legal advice and guidance to achieve firm objectives relating to the core functions of a broker-dealer.
• Work with associates and leaders across the firm to support projects on the firm portfolio and the core operations of the broker-dealer by identifying regulatory and other legal risks and providing organized and concise assessments with actionable recommendations where appropriate.
• Serve as a subject matter expert on rules and regulations governing broker-dealers, including SRO rules, state regulations, the Securities Act of 1933, and the Exchange Act of 1934.
• Manage a workload that is large, diverse, and complex.

What You'll Need

• Juris Doctorate and licensed to practice law in the State of Missouri or another state
• Deep familiarity with regulation from a perspective of wealth management, including broker-dealer conduct rules and Regulation Best Interest
• Expertise on the rules and regulations governing broker-dealers, including SRO rules, state regulations, the Securities Act of 1933, and the Exchange Act of 1934 is required. Knowledge of additional rules and regulations such as the Investment Advisers Act of 1940, ERISA, and the Commodities Exchange Act is preferred
• Retail broker-dealer and wealth management experience with a premium on work experience for a regulator or work in-house or as outside counsel providing broad broker-dealer regulatory counsel
• Ten (10) years of progressive responsibility as an attorney in private practice, in the public sector (including with a regulator) or in an in-house counsel capacity
• Technological aptitude and ability to learn and use new technologies, including artificial intelligence