Lead Counsel, Financial Services & Regulatory Affairs

Benjamin F Edwards & Co; St. Louis (MO); Vor Ort; USD 140.000 - 210.000; Vollzeit

Zusammenfassung

Benjamin F. Edwards seeks a Senior Counsel to serve as a key legal advisor to a multi-state broker/dealer and investment advisor and its affiliates by delivering counsel to support the firm’s business operations.

This leadership role involves navigating complex legal and regulatory issues, conducting in-depth legal analysis, and managing internal legal services personnel with a primary focus on the financial services industry.

Qualifikationen

• 7 years of legal experience with 5+ years in financial services.
• In-house experience preferred but not required.
• Missouri Bar in good standing; securities registrations encouraged.

Aufgaben

• Provide high-level legal counsel on business transactions and regulatory compliance.
• Develop and implement solutions to mitigate and eliminate risk.
• Collaborate with management, compliance, operations, and HR.
• Draft, review, and negotiate agreements and firm documents.
• Conduct legal research and analysis.
• Lead and support internal investigations.
• Support employment matters including agreements, disputes, recruiting, and onboarding.
• Develop policies for senior and vulnerable client protection.
• Supervise legal personnel and coordinate responses to client matters.
• Oversee litigation strategy, discovery, and manage outside counsel.
• Represent the firm in legal and regulatory matters with regulators.

Kenntnisse

Legal experience

Regulatory compliance

Leadership

Written and oral communication

Cross-functional collaboration

Investigations management

Drafting and negotiating agreements

Ausbildung

Juris Doctor or equivalent law degree

Missouri Bar admission

Jobbeschreibung

Benjamin F. Edwards seeks a Senior Counsel to serve as a key legal advisor to a multi-state broker/dealer and investment advisor and its affiliates by delivering counsel to support the firm’s business operations.

This leadership role involves navigating complex legal and regulatory issues, conducting in-depth legal analysis, and managing internal legal services personnel with a primary focus on the financial services industry.