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Job Description
Opportunity Overview:
This position on the Legal-US Business Segments and Branch Support team will partner with business, Compliance, Risk, and other Legal team members to provide legal advice and guidance on priorities on the Firm Portfolio or efforts within Digital Product Management or Operations that relate to the core functions of a broker-dealer. This opportunity will afford candidates with demonstrated broker-dealer experience to be part of a culture that inspires the individual and supports him or her.
What you'll do:
This position on the Legal-US Business Segments and Branch Support team will partner with business, Compliance, Risk, and other Legal team members to provide legal advice and guidance on priorities on the Firm Portfolio or efforts within Digital Product Management or Operations that relate to the core functions of a broker-dealer. This opportunity will afford candidates with demonstrated broker-dealer experience to be part of a culture that inspires the individual and supports him or her.
What you'll do:
- Navigate complex issues and partner with legal, compliance, and risk colleagues to provide business-focused and risk-informed legal advice and guidance to achieve firm objectives relating to the core functions of a broker-dealer.
- Work with associates and leaders across the firm to support projects on the firm portfolio and the core operations of the broker-dealer by identifying regulatory and other legal risks and providing organized and concise assessments with actionable recommendations where appropriate.
- Serve as a subject matter expert on rules and regulations governing broker-dealers, including SRO rules, state regulations, the Securities Act of 1933, and the Exchange Act of 1934.
- Manage a workload that is large, diverse, and complex.