Retail Brokerage Associate General Counsel

Truist; Charlotte (NC); On-site; USD 80,000 - 140,000; Full time

Job summary

An established industry player is seeking a Retail Brokerage Associate General Counsel to deliver legal and regulatory guidance for its retail broker-dealer and investment adviser affiliates. This role involves managing complex legal issues, supporting compliance functions, and collaborating across teams to ensure adherence to securities laws and regulations. The ideal candidate will have a Juris Doctorate, extensive legal experience, and strong communication skills. Join this dynamic team and make a significant impact in a fast-paced environment where your expertise will be valued and utilized to navigate legal complexities.

Qualifications

• 8+ years of legal experience in law firms, government, or corporate settings.
• Ability to prioritize and manage a heavy workload efficiently.

Responsibilities

• Providing legal and regulatory guidance for retail broker-dealer and investment adviser activities.
• Conducting legal research on securities laws and supporting business needs.

Skills

Excellent written and verbal communication skills

Time management

Interpersonal skills

Education

Juris Doctorate from an ABA-accredited law school

Tools

Microsoft Office

Job description

Retail Brokerage Associate General Counsel

Join to apply for the Retail Brokerage Associate General Counsel role at Truist.

This position involves providing legal and regulatory advice to retail broker-dealer and investment adviser affiliates regarding securities products and investment advisory services. It may also involve legal advice to an affiliated insurance agency.

Responsibilities include:

1. Providing legal and regulatory guidance related to the activities of Truist's retail broker-dealer, registered investment adviser, and insurance agency.
2. Supporting compliance and regulatory reporting functions, drafting disclosures, and responding to regulatory inquiries.
3. Managing complex legal issues, coordinating with management and legal teams on legal matters.
4. Conducting legal research on securities laws, rules, and regulations (SEC, FINRA, state laws), and supporting the business needs of a nationwide retail broker-dealer, RIA, and insurance agency.
5. Collaborating with legal, compliance, supervision, finance, risk, and other teams to develop best practices and resolve issues.
6. Providing legal analysis on new and existing laws, processes, procedures, disclosures, and regulatory examinations.
7. Advising on state laws and regulations, including licensing requirements.
8. Ensuring compliance with Regulation Best Interest, Form CRS, FORM ADV, and SEC RIA Marketing Rule.
9. Supporting corporate secretarial functions, including drafting agendas, resolutions, and reviewing minutes.
10. Educating business partners and facilitating compliance across departments.
11. Reviewing and drafting agreements, disclosures, policies, and procedures related to securities and insurance products.
12. Advising on communications to sales force, customers, and partners regarding regulatory and operational matters.
13. Partnering with senior management on legal and regulatory developments.
14. Leading cross-functional legal projects and initiatives.

Qualifications:

Required:

• Juris Doctorate from an ABA-accredited law school, licensed in good standing.
• 8+ years of legal experience in law firms, government, or corporate settings.
• Excellent written and verbal communication skills.
• Ability to prioritize, manage time efficiently, and handle a heavy workload.
• Autonomous work capability, team-oriented attitude, and interpersonal skills.
• Proficiency in Microsoft Office applications.

Preferred:

• Experience at a sophisticated law firm or in-house legal department with securities regulatory expertise.
• Knowledge of federal and state securities laws, FINRA Rules, and the Securities Act of 1933.
• Experience with insurance laws and regulations, including NAIC Models.

Additional Information:

Includes physical requirements, work environment, travel expectations, and benefits details. Truist is an Equal Opportunity Employer and a Drug-Free Workplace.