Senior Counsel, Financial Services & Regulatory Lead

Benjamin F Edwards & Co; Clayton (MO); On-site; USD 180,000 - 240,000; Full time

Job summary

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.

Responsibilities

• 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.

Skills

Legal knowledge

Financial services

Litigation management

Communication skills

Team leadership

Education

Juris Doctor

Job description

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.