Counsel

Overview

This role involves drafting, reviewing, and negotiating contracts for the organization’s subsidiary broker-dealers and handling complex regulatory and compliance matters. You will support the Legal Department through a range of projects and help ensure efficient legal operations across multiple initiatives.

Responsibilities

• Draft, review, and negotiate all contracts related to the organization’s subsidiary broker-dealers
• Research and provide legal advice to business teams regarding broker-dealer and mutual fund distribution, including related regulatory and compliance issues
• Communicate and interact with clients, outside counsel, service providers, and others regarding contract terms, conditions, and related information
• Monitor regulatory developments affecting subsidiary broker-dealers and update contracts and related policies accordingly
• Complete ad-hoc work and special projects as needed to support client and internal initiatives

Requirements

• Juris doctor degree required; licensed in at least one jurisdiction
• 1 to 3 prior years of relevant legal experience at a law firm, regulatory agency, or in-house setting
• Experience in a broker-dealer, mutual fund, financial services, investment firm, or regulatory agency strongly required

Preferred Qualifications

• Experience drafting and reviewing complex agreements with large, sophisticated counterparties, including major financial institutions and top-tier law firms
• Working knowledge of mutual fund and exchange traded fund distribution

Skills & Attributes for Success

• Strong drafting and contract review skills
• Attention to detail
• Demonstrated professional integrity
• Dependable, flexible, and adaptable to new initiatives and changing needs
• Ability to work well in a fast-paced, small-team environment
• Ability to work independently, multi-task, and prioritize effectively
• Ability to establish and maintain effective working relationships
• Highly motivated and goal-oriented; proactive learning and career progression; initiative on internal and external projects
• Commitment to upholding high-quality standards and a customer service focus
• Strong organizational and problem-solving skills with attention to detail
• Strong oral and written communication skills
• Proficiency with Microsoft Office applications, Adobe Acrobat, and the Internet

Compensation & Benefits

• Salary Range: $100,000.00 - $120,000.00 plus discretionary bonus
• Medical and dental coverage
• 401(k) plans
• Paid time off options
• Flexible work environment
• Time off for designated paid holidays, Summer Fridays, Personal/Family Care, and other leaves of absence when needed
• Student Debt Forgiveness
• Pet Insurance

Location

Not specified in the provided job description.

Equal Opportunity / Non-Discrimination

The organization is committed to a policy of nondiscrimination in recruiting, hiring, placement, promotion, training, discipline, termination, layoffs, transfers, leaves of absence, compensation, and all other terms and conditions of employment. All qualified applicants will receive consideration without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, age, disability, protected veteran status, or any other legally protected basis, in accordance with applicable law.

Notice Regarding Company Systems

Everyone using, storing, sharing, or transmitting information with or through the organization’s devices or systems should have no expectation of privacy in any message, files, data, documents, facsimiles, telephone conversations, or other communications transmitted to, received from, printed from, or stored or recorded while utilizing any organizational systems, software, and data.