Description:
Summary:Provide legal support to a multi-state dually registered broker/dealer and investment advisor and its affiliates. This role will focus on complex legal and regulatory matters and day-to-day functions in the financial services industry in partnership with a collaborative legal team.
Essential Duties & 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 various legal matters including those involving clients, regulators, and third parties.
- Provide legal advice and guidance on third party legal actions, responses to subpoenas, and court orders.
- Conduct legal research and analysis.
- Analyze, respond and report on regulatory inquiries and internal investigations, prepare filings, and support internal investigations.
- Partner with and manage outside counsel on various legal matters.
Qualifications:
- Strong research and analytic skills with high attention to detail and accuracy.
- Excellent oral, 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.
- Ability to work collaboratively across all levels of the organization and the flexibility to adapt to and lead through change.
- Minimum Education Required: Juris Doctor degree
- Minimum Work Experience Required: 3 years of experience as an attorney in law firms, governmental agencies and/or in-house legal departments.
- Minimum Required: Member in good standing of the Missouri Bar
- Obtaining securities industry registration: FINRA SIE and FINRA Series 7, 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.
