Senior Counsel

Benjamin F. Edwards; St. Louis (MO); Vor Ort; USD 150.000 - 210.000; Vollzeit

Benefits dieser Stelle

Health insurance

Dental insurance

Vision insurance

401(k) plan

Life insurance

Disability coverage

Paid time off

Zusammenfassung

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

The role focuses on providing strategic counsel, navigating complex regulatory issues, and supporting business operations. The ideal candidate has 7+ years of legal experience with strong financial services regulatory background, excellent communication, and the ability to lead internal legal teams and external counsel when needed.

Qualifikationen

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

Aufgaben

• Provide high-level legal counsel and support to all aspects of the firm’s business, including business transactions and regulatory compliance.
• Develop and implement solutions to mitigate and eliminate risk.
• Collaborate with and support internal business units, including firm management, compliance, operations, and human resources.
• Draft, review, and negotiate agreements and firm documents.
• Conduct legal research and analysis.
• Lead and support internal investigations.
• Support employment-related matters, including agreements, disputes, registration, recruiting, onboarding, and succession planning.
• Develop and implement policies for senior and vulnerable client protection.
• Supervise other legal personnel with responsibilities relating to client complaints, trusts and estates, subpoenas, regulatory reporting, operational issues and other legal matters.
• Oversee litigation strategy, discovery, and manage outside counsel.
• Represent the firm in legal and regulatory matters, including communicating with industry regulators.

Kenntnisse

Estate matters

Contract law

Employment law

Intellectual property

Regulatory compliance

Litigation management

In-house experience

Ausbildung

Juris Doctor

Jobbeschreibung

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

• Provide high-level legal counsel and support to all aspects of the firm’s business, including business transactions and regulatory compliance.
• Develop and implement solutions to mitigate and eliminate risk.
• Collaborate with and support internal business units, including firm management, compliance, operations, and human resources.
• Draft, review, and negotiate agreements and firm documents.
• Conduct legal research and analysis.
• Lead and support internal investigations.
• Support employment-related matters, including agreements, disputes, registration, recruiting, professional onboarding, and succession planning.
• Develop and implement policies for senior and vulnerable client protection.
• 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.
• Oversee litigation strategy, discovery, and manage outside counsel.
• Represent the firm in legal and regulatory matters, including communicating with industry regulators.

Qualifications

• General experience in various legal areas including estate matters, transactional and contract law, employment law, and intellectual property law.
• In depth understanding of financial products, solutions and services, and securities industry regulatory compliance.
• Litigation and litigation management skills are preferred.
• Superior oral, written and interpersonal communication skills.
• Ability to work collaboratively across all levels of an organization and the flexibility to adapt to and lead through change.
• Experience managing support staff, including lawyers, paralegals and other personnel.

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.

• health
• dental
• vision
• 401(k)
• life insurance
• disability
• 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 Employ er.