Description:
A Capital Market Company, a leading independent investment bank focused on the global middle market, is seeking a full-time In-House Counsel to assist our rapidly growing organization. The ideal candidate will have a strong knowledge of relevant requirements of FINRA; as well as laws, regulations, and business operations of a financial advisory or other professional services firm. This position will have significant interaction with senior management, senior bankers, clients, potential clients and outside counsel and vendorsThis position ideally would be in Cleveland or Chicago, but remotely is also an option. Travel to all our U.S. domestic locations may be required at times.
Role & Responsibilities:
The primary duties of the general counsel are as follows:
- Engagement letters
- Responsible for maintaining, reviewing and updating BGL's engagement letter templates for sell-side, buy-side, capital raising, restructuring, and valuation assignments.
- Assist with preparing and negotiating engagement letters and other engagement agreements with potential clients and their legal counsel, and ancillary documents.
- Prepare training materials and lead training sessions of senior bankers on common issues in engagement and company policy on escalation of certain changes.
- FINRA and other compliance matters
- Assist the Chief Compliance Officer generally with FINRA and broker-dealer related compliance questions and issues as they arise
- Review and update FINRA written supervisory policies and procedures and coordinate implementation of appropriate Know Your Client and conflict check procedures
- Assist in draft responses to FINRA requests and assist in FINRA cycle exams
- Assist with FINRA compliance training for all registered representative and firm personnel
- Corporate Legal Matters
- Provide legal advice and act as trusted advisor to most senior management of firm on risk management issues across multiple legal areas in consultation with outside counsel as needed.
- Partnership and other corporate/entity documentation
- Responsible for organizing and keeping official corporate records, including all partnership and corporation agreements and subscription agreements for new partners and investment entities.
- Assistance with drafting other corporate agreements such as consulting agreements and fee sharing agreements
- Employment matters
- Assist and consult with Human Resources in the preparation of offer letters and secondment letters
- Assist with the preparation of separation agreements
- Assist with monitoring and maintaining compliance with employment laws and updating employment policies and mandatory training policies accordingly
- Other items: Vendor agreements and litigation
- Assist with review and negotiation of select vendor contracts
- Manage outside counsel handling litigation involving the company
- Manage third party subpoena responses in coordination with outside counsel
Qualifications:
Interested candidates should meet the following requirements:
- Must have a JD from a top-tier program and have a strong academic record
- Must be licensed with at least one state bar accreditation
- 6-plus years of combined experience in M&A/corporate law at a top tier law firm and/or as in-house counsel; in-house experience prior to this position preferred but not required
- Strong verbal communication skills: Must be able to effectively communicate with the executive committee and other senior professionals and negotiate with outside parties
- Strong written communication skills
- Significant experience in drafting and negotiating corporate agreements, vendor agreements and HR related documents; specific experience within financial advisory and/or professional services industries
- Ability to effectively multi-task and balance a variety of projects simultaneously.
