Description:

Job Description:
Senior Counsel- Legal & Wealth Mangement

What Is the Opportunity?
Senior Counsel Will Provide General Regulatory and Transactional Support to The Bank and Its Wealth Management Operations and Subsidiaries. Substantial Expertise in Advising Registered Investment Advisers and Broker-Dealers Is Essential as Is the Ability to Work and Communicate Effectively with Management and Staff at All Levels. This Position Is Expected to Advise on A Broad Range of Matters Under the Banking and Securities Laws, Including the Sec, Finra, Occ, Frb, and Fdic, Help Resolve Issues as They Arise, and To Provide Advice in Connection with Implementation of Overall Business Strategy for The Bank and Its Wealth Management Business.

What Will You Do?

Provide Transactional and Regulatory Counsel to The Bank and Its Registered Investment Adviser, Broker-Dealer, and Registered Investment Fund Subsidiaries and Affiliates with Respect to Wealth Management Products and Services.
Support Senior Counsel in Advising the Bank's Wealth Management Businesses on Banking and Securities Regulatory Matters, Legislation, New Product Development, and Documentation and In Dealings with The Occ, Sec, Finra and Other U.S. Regulatory Authorities.
Conduct Research and Legal Analysis as Required and Advise on Legal and Regulatory Issues Relating to The Investment Advisors Act of 1940, the Investment Company Act of 1940, the Securities Acts, Cftc, and Finra Regulations.
Draft, Review, and Negotiate a Wide Range of Legal Contracts and Investment Related Documentation, Such as Investment Management Agreements, Subadvisor Agreements, Side Letters, Referral Agreements, Inter-Affiliate Services Agreements, and Custody Agreements.
Review Marketing and Client Facing Material, Disclosures Such as Forms Adv and Fund Prospectuses, Presentations, Training Materials, and Account Opening Documentation to Ensure Regulatory Compliance.
Experience Advising on Employee Retirement Income Security Act (erisa) Qualified Investment Advisory Accounts Is a Plus.
Advise on Issues Relating to Mutual Funds, Fund-Related Agreements, and Regulatory Filings.
Work with Senior Counsel to Analyze New Regulatory Rules and Guidance for Impact to The Bank's Wealth Management Business Lines.
Collaborate with Internal and External Counsel and Cross-Functional Teams, Including Finance, Tax, Accounting, and Compliance/risk to Manage Transactional Matters and Initiatives and Develop Policies and Procedures.
Assist with Special Projects, Including Compliance and Regulatory Law Matters.
Handle Other Projects at The Direction of The Supervising Counsel.

What Do You Need to Succeed?

Required Qualifications*

A Jd and Admission to The California State Bar (or Eligibility to Register as In-House Counsel in California) Required
Minimum of 10 Years of Experience at A Major Law Firm (financial Services or Investment Management Practice), In-House Legal Department of A Financial Institution or Advisory Firm, And/or Financial Services Regulatory Agency or Commensurate Experience
Minimum of 10 Years of Experience Supporting Traditional Wealth Management Business Lines, Including Investment Management, Brokerage, and Custody Within a Bank, Advisory Firm, or Other Financial Services Firm.

Additional Qualifications:

Ability to Manage Multiple Projects Concurrently and Meet Deadlines.
Ability to Work and Communicate Effectively with Management and Staff at Multiple Levels.
Ability to Work on Cross-Functional Teams with Emphasis in Multiple Coverage Areas.
Be Well Versed in State and Federal Laws and Regulations Governing the Assigned Area(s) of Responsibility, Banking Environment, and Related Industry Practices
Demonstrate Experience in Analyzing, Interpreting and Communicating Strategies and Requirements, and The Ability to Translate Complex Legal Requirements Into Written Materials and Oral Presentations.
Excellent Interpersonal, Verbal and Written Communication Skills.
Excellent Problem Solving Abilities and Effective Verbal, Written and Executive Communication and Presentation Skills.
Experience in Analyzing, Interpreting and Communicating Legal Strategies and Requirements to Internal Clients and In Translating Both Basic and Complex Legal Requirements Into Written Materials and Oral Presentations.
Experience with Managing Confidential Information and Documents with Discretion.
Experience Working in Financial Services Industry Preferred.
Flexibility and Ability to Work Well with A Team.
Must Be Able to Work Independently, Performing a Variety of Tasks in A Team Environment.
Proven Leadership with Initiative and Problem Solving Abilities.
Strong Business Sense and Ability to Exercise Good Business Judgement Is Critical
Strong Presentation and Documentation Skills.