The Role:
The Assistant General Counsel will lead a team of lawyers, paralegals, and other legal professionals who manage enterprise-wide regulatory enforcement and other matters, including for the broker dealer, commercial, capital markets and all consumer businesses.
  • Operate as the lead lawyer for the team of professionals in the handling of a portfolio of regulatory enforcement, internal investigations, litigations and other escalated or complex matters involving supervisory and non-supervisory regulators and state and federal law enforcement and other agencies
  • Collaborate with leaders and subject matter experts in the Legal Department and other stakeholder functions, including compliance, risk, regulatory relations, government relations and communications, in providing strategic, tactical and effective legal support for the individual businesses and the Enterprise in the handling of the portfolio
  • Serve as an advisor to the Deputy General Counsel for Litigation, Regulatory Enforcement, Investigations & Intellectual Property Division, executive management and other senior leaders in providing legal, strategic planning, operational and risk management advice
  • Supervise the consistent application of Company and Legal Department policies and procedures, including the management of outside counsel.
  • Participate as a management team member of the Litigation, Regulatory Enforcement, Investigations & Intellectual Property Division

The Candidate:
The successful candidate will have demonstrated expertise in managing sophisticated teams of legal professionals in the handling of a complex portfolio of regulatory enforcement, investigation and litigation matters. The candidate will also possess substantial experience providing advice to senior business leaders on challenging issues and have an ability to set a strategic vision and to execute on that vision. Candidates will have seasoned communication skills and the ability to influence at a variety of levels and across functions in a complex, multi-layered, fast-paced organization; possessing the ability to be flexible, creative, self-motivated, showing initiative and perseverance, resourcefulness, a strong work ethic, a collaborative approach and a sense of humor.

Required Qualifications:
  • Active State Bar membership
  • 10+ years of practicing as an attorney with a major law firm, banking regulatory agency, or in-house law department, including 4+ years of representing financial services firms in banking regulatory or transactional activities
  • 4+ years of management experience leading large teams of attorneys and other legal professionals practicing in the area of banking regulatory or transactional activities in a major law firm, banking regulatory agency or in-house law department

Desired Qualifications:
  • Budget management experience
  • Ability to develop and maintain effective relationships within and across business lines at all levels of the organization
  • Ability to make complex decisions
  • Effective organizational, multi tasking, and prioritizing skills
  • Ability to lead and motivate staff to prioritize work, meet deadlines, achieve goals, and work under pressure in a dynamic and complex environment
  • Leadership and management experience for multiple legal divisions and managers with staff representation across multiple geographic locations
  • Ability to develop and execute business vision, strategies and goals to achieve corporate objectives

Other Desired Qualifications:
  • Excellent verbal and written communication and interpersonal relationship skills, including the ability to be highly collaborative and influential
  • A high level of operational proficiency, superior judgment and attention to detail
  • Flexibility and adaptability to changing priorities and the ability to work efficiently to meet deadlines in a fast-paced, demanding environment
  • Well-developed ability to evaluate economic, reputational and regulatory risks and to develop strategic and tactical plans to minimize those risks
  • The candidate will have an extensive legal background in managing a wide-range of regulatory enforcement matters, internal investigations and complex litigations
  • Deep expertise in advising senior executive legal and business management, the board and board committees and proficiency in reporting to and interacting with senior internal or external stakeholders
  • Strong capabilities in leading a team or cross-functional group in significant tasks or projects and managing and developing teams and individuals located in diverse geographic areas
  • Highly developed ability to anticipate legal issues or risks and communication needs in a complex organization
  • Strong analytical and strategic skills, including the ability to collaborate and drive issues to resolution that factor in legal and non-legal variables, such as reputation risk, communications, government relations, regulatory relations, tax, insurance, finance and other considerations
  • Superior ability to work well under pressure with diligence, organization, and minimal supervision while escalating appropriately and providing practical, business-friendly advice to clients
  • The highest degree of professional ethics and integrity