Assoc General Counsel III - Broker Dealer

Overview

This role is part of the Legal-US Business Segments and Branch Support team, providing legal advice and guidance on priorities related to the core functions of a broker-dealer. The position involves partnering with business, Compliance, Risk, and other Legal team members to support efforts within Digital Product Management or Operations.

Responsibilities

• Navigate complex legal and regulatory issues related to broker-dealer operations.
• Collaborate with legal, compliance, and risk colleagues to deliver business-focused and risk-informed legal advice.
• Support projects across the firm portfolio and core broker-dealer operations by identifying regulatory and legal risks.
• Provide organized, concise assessments with actionable recommendations.
• Serve as a subject matter expert on broker-dealer rules and regulations, including SRO rules, state regulations, the Securities Act of 1933, and the Exchange Act of 1934.
• Manage a large, diverse, and complex workload.

Requirements

• Juris Doctorate and licensed to practice law in Missouri or another state.
• Deep familiarity with wealth management regulations, including broker-dealer conduct rules and Regulation Best Interest.
• Expertise in broker-dealer rules and regulations such as SRO rules, state regulations, the Securities Act of 1933, and the Exchange Act of 1934.
• Preferred knowledge of the Investment Advisers Act of 1940, ERISA, and the Commodities Exchange Act.
• Experience in retail broker-dealer and wealth management, with preference for regulatory experience or in-house/outside counsel providing broad broker-dealer regulatory counsel.
• At least 10 years of progressive responsibility as an attorney in private practice, public sector (including regulatory roles), or in-house counsel.
• Technological aptitude and ability to learn and use new technologies, including artificial intelligence.

Compensation & Benefits

Compensation details are not specified in the description.

Location

The position requires licensure to practice law in Missouri or an equivalent state, implying a location or licensure requirement related to Missouri.