Senior Counsel

Benjamin F Edwards & Co; St. Louis (MO); On-site; USD 140,000 - 210,000; Full time

Job summary

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.

Qualifications

• 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.

Responsibilities

• 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.

Skills

Legal experience

Regulatory compliance

Leadership

Written and oral communication

Cross-functional collaboration

Investigations management

Drafting and negotiating agreements

Education

Juris Doctor or equivalent law degree

Missouri Bar admission

Job description

If you are unable to complete this application due to a disability, contact this employer to ask for an accommodation or an alternative application process.

Senior Counsel

Law & Legal Services MO Full Time Professional St. Louis, MO, US

2 days ago Requisition ID: 1484

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.

• 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.
• Overseelitigationstrategy,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 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

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.

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 Employ er.