Description:

Summary:
Serve as a key legal advisor to a multi-state dually registered broker/dealer and investment advisor and its affiliates by delivering counsel to support the firm's business operations. This leadership role involves navigating complex legal and regulatory issues, conducting in-depth legal analysis, and managing internal legal services personnel with a primary focus on the financial services industry.

Essential Duties & Responsibilities:

Provide high-level legal counsel and support to all aspects of the firm's business, including business transactions and regulatory compliance.
Develop and implement solutions to mitigate and eliminate risk.
Collaborate with and support internal business units, including firm management, compliance, operations, and human resources.
Draft, review, and negotiate agreements and firm documents.
Conduct legal research and analysis.
Lead and support internal investigations.
Support employment-related matters, including agreements, disputes, registration, recruiting, professional onboarding, and succession planning.
Develop and implement policies for senior and vulnerable client protection.
Supervise other legal personnel with responsibilities relating to client complaints, trusts and estates, subpoenas, regulatory reporting, operational issues and other legal matters, and ensuring timely and professional responses.
Oversee litigation strategy, discovery, and manage outside counsel.
Represent the firm in legal and regulatory matters, including communicating with industry regulators.

Qualifications:

General experience in various legal areas including estate matters, transactional and contract law, employment law, and intellectual property law.
In depth understanding of financial products, solutions and services, and securities industry regulatory compliance.
Litigation and litigation management skills are preferred.
Superior oral, written and interpersonal communication skills.
Ability to work collaboratively across all levels of an organization and the flexibility to adapt to and lead through change.
Experience managing support staff, including lawyers, paralegals and other personnel.

Education and/or Work Experience:

Minimum Education Required: Juris Doctor degree
Minimum Work Experience Required: 7 years of legal experience; minimum of 5 years of experience in the financial services industry.
Experience working in an in-house is not required but is preferred.

Licenses/Registration:

Minimum Required: Member in good standing of the Missouri Bar
Obtaining securities industry registration: FINRA SIE, FINRA Series 7 and FINRA Series 24, 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.