Assoc General Counsel III - Broker Dealer

Overview

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

Responsibilities

• Navigate complex legal and regulatory issues, collaborating with legal, compliance, and risk colleagues to provide business-focused and risk-informed legal advice.
• Support projects across the firm portfolio and core broker-dealer operations by identifying regulatory and legal risks and delivering 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 effectively.

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 regulatory framework, including SRO rules, state regulations, the Securities Act of 1933, and the Exchange Act of 1934. Knowledge of the Investment Advisers Act of 1940, ERISA, and the Commodities Exchange Act is preferred.
• Experience in retail broker-dealer and wealth management environments, with preference for regulatory experience or in-house/outside counsel providing broad broker-dealer regulatory counsel.
• At least 10 years of progressive legal experience in private practice, public sector (including regulatory agencies), or in-house counsel roles.
• Technological aptitude and ability to learn and utilize new technologies, including artificial intelligence.

Compensation & Benefits

Details on compensation and benefits are provided by the employer during the hiring process.

Location

This position requires licensure to practice law in Missouri or an equivalent state, indicating a likely location or jurisdictional focus in Missouri or related regions.