Senior Assistant General Counsel

Overview

This role involves managing legal matters related to the Fixed Income Capital Markets (FICM) division, primarily supporting institutional sales, trading desks, underwriting, and investment banking. The position requires handling transactional, litigation, and regulatory legal issues with a high degree of autonomy. Responsibilities include drafting, reviewing, and advising on a variety of agreements, from NDAs and engagement letters to complex securities transaction documents such as MSFTAs, MSDAs, and securitization documents. The role may also lead major projects or programs with significant business impact and cross-functional involvement.

Responsibilities

• Provide legal advice and counsel to the assigned functional area and recommendations to Senior Management on corporate actions.
• Collaborate with business and control functions including legal, compliance, supervision, risk, and audit to manage FICM legal matters and enhance policies, procedures, and controls.
• Draft, review, and advise on a wide range of agreements, from NDAs and vendor agreements to complex securities transaction-related documents.
• Oversee and manage outside counsel activities related to the assigned functional area.
• Utilize critical thinking and legal analytical skills to draft, review, edit, and negotiate agreements between the organization and third parties.
• Coach and mentor legal department staff, developing continuing education programs and career development opportunities.
• Interpret, apply, and recommend changes to organizational policies and procedures.
• Balance conflicting resource and priority demands.
• Manage a portfolio of legal matters, keeping management informed of developments.
• Determine allocation of legal reserves when applicable.
• Oversee maintenance of case status reports if applicable.
• Assist in developing, preparing, and presenting legal theories and strategies.
• Prepare and deliver written and oral presentations on legal issues to Senior Management.
• Maintain current knowledge of corporate and financial securities regulatory law and advise on current or proposed rules and regulations.
• Perform other duties as assigned.

Knowledge

• Advanced knowledge of corporate, securities, and regulatory law affecting financial institutions, including broker-dealer regulations.
• Advanced understanding of investment concepts, practices, and procedures in the securities industry.
• Advanced principles of banking, finance, and securities industry operations.
• Advanced knowledge of financial markets and products.

Skills

• Managing a heavy workload in a rapidly evolving regulatory and business environment.
• Drafting, reviewing, and negotiating agreements and transaction-related documents.
• Developing, preparing, and presenting legal theories and strategies.
• Researching and analyzing laws and regulations related to broker-dealers or the assigned functional area.
• Preparing and delivering written and oral presentations on legal issues to associates at all levels.
• Proficient with standard office equipment and software applications, including legal case management software and Microsoft Office.

Abilities

• Provide legal advice, counsel, and recommendations on transactional and regulatory matters.
• Interpret, apply, and recommend changes to organizational policies and procedures.
• Advise Senior Management on significant legal issues.
• Balance conflicting resource and priority demands.
• Collaborate effectively with other functional areas to achieve objectives.
• Facilitate meetings ensuring all viewpoints and issues are addressed.
• Gather information, identify linkages and trends, and apply findings to assignments.
• Read, interpret, analyze, and apply complex legal information.
• Prioritize and manage multiple priorities in a fast-paced, dynamic environment.
• Communicate effectively both orally and in writing.
• Work independently and collaboratively within a team.
• Handle stressful situations and a diverse workload.
• Provide high-level customer service professionally and calmly.
• Establish and maintain effective working relationships at all organizational levels, including negotiating resources.

Qualifications

• Juris Doctorate (JD) with excellent academic credentials.
• Minimum of 10 years of specific experience in relevant practice areas, preferably including law firm, regulatory, self-regulatory organization, or in-house financial services industry experience.
• Admission to any State Bar (American Bar Association).
• Equivalent combinations of experience, education, and/or training may be considered.

Experience

• General experience ranging from 10 to 15 years.

Travel

• Less than 25% travel required.

Workstyle

• Remote work arrangement.

Compensation & Benefits

Total compensation includes base salary and may include additional components such as cash or equity bonuses, discretionary bonuses, or commissions. Benefits may include medical, dental, and vision insurance; life, critical illness, and accident insurance; disability benefits; retirement savings plans; paid time off including vacation, holidays, and sick leave; and parental leave. Eligibility and specific offerings vary based on position and employment status.

Location

Remote