Senior Legal Services Specialist

Benjamin F. Edwards; St. Louis (MO); On-site; USD 90,000 - 150,000; 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 in St. Louis seeks a Senior Legal Services Specialist to support counsel and the Manager of Legal Services. The role involves handling complex legal matters and analytics in the financial services sector.

The position requires strong research, communication, and organizational skills, with experience in regulatory filings and liaison work with third-party counsel. A proactive, independent approach is essential.

Qualifications

• Bachelor’s degree from an accredited institution.
• 10+ years of experience in the financial services industry or compliance-related experience.
• Series 7 license required; Series 9, 10 and 24 preferred.

Responsibilities

• Analyze, respond, and report on client inquiries, complaints, claims, disputes, cases and/or proceedings.
• Analyze, respond, and report on regulatory inquiries and examinations.
• Consult with and provide assistance to all areas of firm on various matters.
• Respond to field inquiries and provide assistance.
• Communicate with third party counsel.
• Research and analyze legal issues as directed by counsel.
• Analyze and respond to subpoenas, court orders and requests for information.
• Review and manage legal matters at the direction of counsel and in support of the firm’s operating units.
• Prepare and submit regulatory filings.
• Research, investigate and resolve matters involving account documentation, including but not limited to approval of estate planning documents and matters relating to authority of individuals to represent or act on behalf of client accounts, or to otherwise engage in transactions or dispose of assets in client accounts.
• Assist in internal investigations at the direction of counsel.
• Manage matters relating to the exploitation of seniors and vulnerable adults.
• Administer holds or other restrictions on client accounts.
• Communicate with third parties including outside counsel, clients, and regulators.
• Coordinate matters with other business and support divisions of the Firm.
• Maintain division files and file management system.
• Prepare and submit Rule 4530 and similar regulatory filings.
• Provide litigation support.
• Support and collaborate with Manager of Legal Services.

Skills

Industry regulations

Investment products

Research & analysis

Communication skills

Organizational skills

Independent work

Education

Bachelor’s degree

Tools

Microsoft Office

CRM systems

Client account platforms

Job description

Job Summary

The Senior Legal Services Specialist role supports the firm’s counsel and Manager of Legal Services. The position will involve handling matters of substantial legal or factual complexity and performing analytics, primarily involving the financial services industry.

Essential Duties & Responsibilities

• Analyze, respond, and report on client inquiries, complaints, claims, disputes, cases and/or proceedings.
• Analyze, respond, and report on regulatory inquiries and examinations.
• Consult with and provide assistance to all areas of firm on various matters.
• Respond to field inquiries and provide assistance.
• Communicate with third party counsel.
• Research and analyze legal issues as directed by counsel.
• Analyze and respond to subpoenas, court orders and requests for information.
• Review and manage legal matters at the direction of counsel and in support of the firm’s operating units.
• Prepare and submit regulatory filings.
• Research, investigate and resolve matters involving account documentation, including but not limited to approval of estate planning documents and matters relating to authority of individuals to represent or act on behalf of client accounts, or to otherwise engage in transactions or dispose of assets in client accounts.
• Assist in internal investigations at the direction of counsel.
• Manage matters relating to the exploitation of seniors and vulnerable adults.
• Administer holds or other restrictions on client accounts.
• Communicate with third parties including outside counsel, clients, and regulators.
• Coordinate matters with other business and support divisions of the Firm.
• Maintain division files and file management system.
• Prepare and submit Rule 4530 and similar regulatory filings.
• Provide litigation support.
• Support and collaborate with Manager of Legal Services.

Qualifications

• Strong knowledge of industry rules, regulations, and investment products.
• Able to identify underlying issues in area of expertise.
• Strong research and analytic skills with high attention to detail and accuracy.
• Excellent verbal, written, and interpersonal communication skills.
• Strong ability to organize, multi-task, and prioritize.
• Able to work independently, proactively, and creatively on complex assignments without direct supervision.
• Adept at Intermediate Microsoft Office.
• Proficient in managing commonly used technology platforms, including Client Relationship Management systems, client account platforms, archived electronic communications, and supervision applications.

Education And/or Work Experience

• Minimum Education Required: Bachelor’s degree from accredited educational institution.
• Minimum Work Experience Required: 10+ years of experience in the financial services industry or compliance-related experience.

Licenses/Registration

• Minimum Required: Series 7
• Series 9, 10 and 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 $50 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.