Senior Counsel

Benjamin F Edwards & Co; Clayton (MO); Sur place; USD 180 000 - 240 000; Plein temps

Résumé du poste

Benjamin F. Edwards is seeking a Senior Counsel to serve as a key legal advisor to its multi-state broker/dealer and investment advisor affiliates.

The role focuses on complex regulatory issues, financial products understanding, and leading internal legal services personnel within the financial services industry. The position involves advising on business transactions, regulatory compliance, and investigations, while collaborating with management, compliance, operations, and HR to mitigate risk.

Qualifications

• Juris Doctor degree required.
• 7 years of legal experience; minimum of 5 years in the financial services industry.
• In-house experience is preferred but not required.

Responsabilités

• Advise on a broad range of legal matters including transactions and regulatory compliance.
• Develop and implement risk mitigation solutions and policies.
• Lead and develop internal legal staff and collaborate with compliance, operations, HR, and management.
• Draft, review, and negotiate firm documents and agreements.

Connaissances

Legal knowledge

Financial services

Litigation management

Communication skills

Team leadership

Formation

Juris Doctor

Description du poste

Senior Counsel - Law & Legal Services Department

Summary:

Serve as a key legal advisor to a multi-state dually registered 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.

Essential Duties & Responsibilities:

• Providehigh-levellegalcounseland supporttoallaspectsofthefirm’sbusiness,includingbusiness transactions and regulatory compliance.
• Developand implementsolutionstomitigateandeliminaterisk.
• Collaboratewithandsupportinternalbusinessunits,includingfirmmanagement,compliance, operations, and human resources.
• Draft,review,andnegotiateagreementsandfirmdocuments.
• Conductlegalresearchand analysis.
• Leadandsupportinternalinvestigations.
• Supportemployment-relatedmatters,includingagreements,disputes,registration,recruiting, professional onboarding, and succession planning.
• Developand implementpoliciesforseniorand vulnerableclientprotection.
• Supervise other legal personnel with responsibilities relating to client complaints, trusts and estates, subpoenas, regulatory reporting, operational issues and other legal matters, and ensuring timely and professional responses.
• Overseetitigationstrategy,discovery,andmanageoutsidecounsel.
• Representthefirminlegalandregulatorymatters,includingcommunicatingwithindustryregulators.

Qualifications:

• Generalexperienceinvariouslegalareasincludingestatematters,transactionalandcontractlaw, employment law, and intellectual property law.
• Indepthunderstandingoffinancialproducts,solutionsandservices,andsecuritiesindustryregulatory compliance.
• Litigationandlitigationmanagementskillsarepreferred.
• Superiororal,writtenandinterpersonalcommunicationskills.
• Abilitytoworkcollaborativelyacrossalllevelsofan organization andtheflexibilitytoadapttoandlead through change.
• Experiencemanagingsupportstaff,includinglawyers,paralegalsandotherpersonnel.

Education and/or Work Experience:

• Minimum Education Required: Juris Doctor degree
• Minimum Work Experience Required: 7 years of legal experience; minimum of 5 years of experience in the financial services industry.
• Experience working in an in-house is not required but is preferred.

Licenses/Registration:

• Minimum Required: Member in good standing of the Missouri Bar
• Obtaining securities industry registration: FINRA SIE, FINRA Series 7 and FINRA Series 24, preferred

Work Environment:

This position requires the ability to work in a stationary position for several hours at a time and the ability to lift up to 25 pounds, occasionally. Some filing is required. The work environment is an air-conditioned, smoke-free, office environment. This position routinely uses standard office equipment such as computers, phones, photocopiers and filing cabinets.

About Benjamin F. Edwards

If you are interested in joining a different kind of firm that truly puts the interests of its advisors and clients first, you have come to the right place. Founded in 2008 and serving more than 300 advisors with over $45 billion in assets, Edwards has the scale our advisors expect and the ability to deliver the personal touch and concierge-level service our clients deserve.

We are a firm that values our legacy of family and colleagues and cherishes an environment where all succeed through collaborative support. To us, legacy is not only about the past - it is building an experience that prepares all of us, and our clients, for the future.

We invest in our team and recognize and appreciate the value of hard work. The rewards of the job are founded in the difference you will make in the lives of our clients and extend throughout a culture that inspires you to learn, grow, and be your best. Having fun is part of the firm’s mission statement.

We offer a comprehensive benefits package which includes health, dental, vision, 401(k), life insurance, disability, and paid time off.

Our client-first mission is grounded in the Golden Rule; when you join Benjamin F. Edwards you are well cared for, and we welcome all applicants with the skills, experience, and enthusiasm to do a great job regardless of race, color, religion, gender, sexual orientation, national origin, genetics, disability, age, or veteran status.

Benjamin F. Edwards is an Equal Opportunity Employer.

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