Description:
Who You'll Work With:An Investment Management and Research Firm Research has announced a joint venture with Société Générale that, upon closing, will combine An Investment Management and Research Firm's premier global equity research and execution platform with Société Générale's equity research and execution capabilities to form a leading global cash equities and equity research business. The joint venture is expected to close in the first half of 2024, subject to regulatory approval.
As a Vice President and Legal Counsel, you will play a pivotal role in helping to ensure the joint venture closes in a timely manner and shaping the legal framework and strategy of the newly formed global joint venture, which will have broker-dealers and/or broker-dealer operations in 20+ jurisdictions. You will be part of a global team of legal professionals that advises senior management on legal and regulatory matters impacting the global business, including the impact of applicable laws and regulations.
Following closing of the joint venture, the Legal Counsel role will sit within the Legal Department of the joint venture and report to the General Counsel of the joint venture.
What You'll Do:
- Assist in identifying, assessing, mitigating and monitoring legal risks across all business activities and operations of the joint venture.
- Assist in identifying and analyzing the legal and regulatory issues relating to a global research, sales and cash equities business, including client onboarding documentation, trading execution, and the rules, policies and market practices related to managing the interactions between research department and equity capital markets personnel and the distribution of Société Générale's equity capital markets offerings.
- Assist in advising on communication strategies with regulators and ensuring the joint venture maintains good relationships with its global regulators.
- Assist in ensuring adequate reporting to senior management of the joint venture.
- Liaising with external and in house counsels globally.
- Managing efforts with respect to contract negotiation, corporate secretarial and corporate governance.
In
successfully fulfilling the role, Legal Counsel will need to closely
partner with legal and compliance professionals at An Investment Management and Research Firm and
Société Générale, as well as within the joint venture.
What We're Looking For:
- 3+ years' experience at a top-tier law firm or as an in-house attorney in a corporate legal department (preferably at another financial institution).
- Knowledge of and experience with the rules applicable to a global cash equities sales, trading and equity research and equity capital markets businesses.
- Demonstrated ability to provide strategic legal counsel and navigate complex legal issues.
- Excellent negotiation, communication, and interpersonal skills.
- Strong analytical and problem-solving abilities.
- Maturity, pragmatism, good judgment and business sense, a strong work ethic, and an ability to inspire confidence.
- Candidate must also enjoy working collaboratively to solve complex issues in a tight timeframe.
