Senior Financial Services Counsel - Regulatory & Compliance

Benjamin F Edwards & Co; St. Louis (MO); On-site; USD 120,000 - 180,000; Full time

Benefits offered by this job

Health insurance

Dental insurance

Vision insurance

401(k)

Life insurance

Disability

Paid time off

Job summary

Benjamin F. Edwards, a Missouri-based financial services firm, seeks a Counsel to provide comprehensive legal support across the organization, focusing on complex regulatory matters and daily operations within a broker/dealer and investment adviser framework.

You will draft and negotiate firm documents, respond to inquiries, and collaborate with cross-functional teams to ensure regulatory compliance and effective risk management.

Qualifications

• Attorney with 3+ years of experience in law firms, government, or in-house legal departments.
• Strong research and analytic skills with attention to detail and accuracy.
• Licensed in good standing to practice law in Missouri or eligible for admission.

Responsibilities

• Provide legal counsel and support to all divisions of the firm.
• Respond to internal and field inquiries.
• Draft, review, and negotiate agreements and firm documents.
• Analyze and manage regulatory matters involving clients, regulators, and third parties.
• Advise on third party legal actions, subpoenas, and court orders.
• Conduct legal research and analysis.
• Prepare filings and support internal investigations.
• Coordinate with outside counsel on various matters.

Skills

Legal research

Regulatory compliance

Contract negotiation

Communication

Team collaboration

Independent work

Education

Juris Doctor (JD) or equivalent

Tools

Westlaw

LexisNexis

MS Office

Job description

Benjamin F. Edwards, a Missouri-based financial services firm, seeks a Counsel to provide comprehensive legal support across the organization, focusing on complex regulatory matters and daily operations within a broker/dealer and investment adviser framework.

You will draft and negotiate firm documents, respond to inquiries, and collaborate with cross-functional teams to ensure regulatory compliance and effective risk management.