Assistant General Counsel, Fixed Income

100 Raymond James & Associates, Inc.; Saint Petersburg (FL); Hybrid; USD 180,000 - 280,000; Full time

Benefits offered by this job

Health insurance

Life insurance

Disability benefits

Retirement savings

Paid time off

Parental leave

Critical illness insurance

Accident insurance

Job summary

Raymond James is seeking an Assistant General Counsel to provide legal support for the Fixed Income Capital Markets division in Saint Petersburg, FL. You will advise sales, trading, underwriting, and investment banking on complex transactional and regulatory matters, with hands-on fixed income product experience.

The role requires JD, 8+ years of relevant experience, and strong regulatory knowledge (SEC, FINRA, MSRB).

Qualifications

• Juris Doctor (JD) with strong academic credentials; active bar membership in good standing.
• Eight (8+) years of relevant legal experience advising fixed income capital markets or comparable private practice or in-house experience.
• Strong understanding of the legal and regulatory framework applicable to fixed income capital markets (SEC, FINRA, MSRB).
• Experience at a major law firm, financial institution, regulator, or self-regulatory organization.
• Some previous litigation experience preferred.

Responsibilities

• Serve as legal coverage for the Fixed Income Capital Markets business, with meaningful ownership of legal matters supporting capital markets sales and trading activity.
• Draft, review, negotiate, and advise on a broad range of agreements, including: NDAs, engagement letters, and other commercial agreements
• Securities offering and underwriting documentation
• Distribution Agreements (e.g., MSDAs, AAUs, placement agreements)
• Advise on legal and regulatory issues affecting fixed income sales and trading (both retail and institutional), including documentation standards, collateral arrangements, and applicable regulatory requirements.
• Assist with and coordinate responses to litigation-related matters, requests or regulatory inquiries (e.g., third-party subpoenas or discovery requests).
• Partner closely with senior sales, trading, research, and investment banking professionals to deliver practical, timely, and commercially sound legal advice.
• Collaborate with Compliance, Risk, and other control functions to address regulatory matters and support effective risk management.
• Manage external counsel in connection with transactions, regulatory matters, and specialized projects.
• Lead or contribute to initiatives that improve processes, consistency, and risk oversight across the FICM business.

Skills

Drafting

Negotiation

Independent judgment

Communication

Collaboration

Education

Juris Doctor (JD)

Job description

Job Description Summary The Assistant General Counsel will provide legal support to the Fixed Income Capital Markets (FICM) division of Raymond James, advising fixed income sales and trading, debt research, underwriting, and investment banking on complex transactional, regulatory, and advisory matters. This role requires hands-on experience with fixed income products and strong knowledge of the rules and regulations applicable to fixed income products. The Senior Assistant General Counsel will serve as a trusted legal partner to business leadership, exercising independent judgment to enable business activity while managing legal and regulatory risk.

Job Description Key Responsibilities: Serve as legal coverage for the Fixed Income Capital Markets business, with meaningful ownership of legal matters supporting capital markets sales and trading activity. Draft, review, negotiate, and advise on a broad range of agreements, including: NDAs, engagement letters, and other commercial agreements Securities offering and underwriting documentation Distribution Agreements (e.g., MSDAs, AAUs, placement agreements) Advise on legal and regulatory issues affecting fixed income sales and trading (both retail and institutional), including documentation standards, collateral arrangements, and applicable regulatory requirements. Assist with and coordinate responses to litigation-related matters, requests or regulatory inquiries (e.g., third-party subpoenas or discovery requests). Partner closely with senior sales, trading, research, and investment banking professionals to deliver practical, timely, and commercially sound legal advice. Collaborate with Compliance, Risk, and other control functions to address regulatory matters and support effective risk management. Manage external counsel in connection with transactions, regulatory matters, and specialized projects. Lead or contribute to initiatives that improve processes, consistency, and risk oversight across the FICM business.

• Juris Doctor (J.D.) with strong academic credentials; active bar membership in good standing.
• Eight (8+) years of relevant legal experience advising fixed income capital markets or comparable private practice or in-house experience.
• Strong understanding of the legal and regulatory framework applicable to fixed income capital markets (SEC, FINRA, MSRB).
• Experience at a major law firm, financial institution, regulator, or self-regulatory organization.
• Some previous litigation experience preferred.

• Ability to operate independently and exercise sound judgment in complex, fast-paced environments.
• Strong drafting and negotiation skills, with attention to detail and commercial outcomes.
• Clear, confident communicator with the ability to engage effectively with senior business partners.
• Practical, solutions-oriented approach to managing legal and regulatory risk.
• Collaborative mindset and comfort working across functions.

• Ownership of complex fixed income matters.
• Direct access to senior business leadership and involvement in high-impact transactions and strategic initiatives.

Education Juris Doctor (JD): Law

Work Experience General Experience - 6 to 10 years

Certifications Travel Less than 25% Workstyle Hybrid

The total compensation for this position includes base salary or wages, and may include components such as additional compensation (cash or equity), discretionary bonuses, or commissions. This position is eligible for a benefits package that may include medical, dental, and vision; life insurance; critical illness insurance and accident insurance; disability benefits; retirement savings; paid time off (including vacation, holidays, and sick leave); and parental leave. Eligibility for benefits and specific offerings may vary based on position and employment status. To view more details of the benefits offered, visit Myrjbenefits.com.

• medical, dental, and vision
• life insurance
• critical illness insurance and accident insurance
• disability benefits
• retirement savings
• paid time off (including vacation, holidays, and sick leave)
• parental leave

• Grow professionally and inspire others to do the same
• Work with and through others to achieve desired outcomes
• Make prompt, pragmatic choices and act with the client in mind
• Take ownership and hold themselves and others accountable for delivering results that matter
• Contribute to the continuous evolution of the firm

At Raymond James – as part of our people-first culture, we honor, value, and respect the uniqueness, experiences, and backgrounds of all of our Associates. When associates bring their best authentic selves, our organization, clients, and communities thrive. The Company is an equal opportunity employer and makes all employment decisions on the basis of merit and business needs.

#LI-JB1 Raymond James is a diversified financial services company providing wealth management, capital markets, asset management, banking and other services to individuals, corporations and municipalities.

Founded in 1962 in St. Petersburg, Florida, rather than on Wall Street, we have always embraced being a different kind of financial services firm. Today, Raymond James has locations and subsidiaries across the United States, Canada, the United Kingdom and Germany, and is listed on the New York Stock Exchange under the symbol RJF.

Our business is deeply focused on people and their financial well-being. We're committed to helping individuals, corporations and institutions achieve their goals, while also supporting successful professionals and helping our communities prosper. We believe doing well and doing good aren't mutually exclusive. As an established but ever-evolving company, you can start - or continue - growing your career here. We invest in you with wide-ranging benefits and the support of leaders and colleagues who care. From development opportunities and enriching networking groups to prioritizing diversity, inclusion and the power of different perspectives, Raymond James is where good people grow. Our people-first culture is outlined in our Culture Blueprint. Check it out to see why many choose to work at Raymond James - and why they stay.