Description:

The Vice President, Assistant General Counsel in the firm's Early Dispute Resolution (EDR) group is responsible for a broad range of in-house legal services, with primary focus on responding to investor complaints, including both sales practice and operational complaints, collaborating on regulatory inquiries and resolving customer complaints before they escalate, and defending the firm and its advisors prior to litigation. Responsibilities also include rendering legal advice and counsel to the company and business units while working to achieve equitable resolution of claims.

This role will report to a Senior Vice President, Associate General Counsel within the Advice, Litigation and Regulatory group of the firm's Compliance, Legal and Risk Department. The role will require frequent interaction with the firm's compliance, operations, supervision teams as well as additional business units. The successful candidate will have a business-oriented approach and mindset in developing and delivering legal solutions.

Essential Functions:

Possess superior judgment and aptitude for evaluating and addressing investor complaints in a timely and substantive manner, as well as ensuring compliance with all FINRA regulatory reporting requirements that relate to investor complaints.
Provide effective Regulatory Reporting of customer complaints.
Knowledge of brokerage account regulations and compliance.
Evaluate legal, financial, regulatory and reputational risk and escalate to senior management as needed.
Coordinate with compliance, legal and risk partners and other business units as appropriate.
Ability to adapt quickly to changing environments and independently manage significant investor complaint case load assignments.
Handle client contact in a professional, courteous, and confidential manner.
Ability to work independently with minimal supervision.
Ability to efficiently handle case assignments, some committee responsibilities and converse on matters related to litigation.

Job Qualifications:

Juris Doctor degree required (barred in your state of practice)
Minimum of 6-7 years experience working in-house at a broker/dealer, securities related regulatory entity, or a law firm, and preferably significant exposure to litigation practices and procedures
Experience managing a team of attorneys and legal staff is a plus
Excellent negotiation and dispute resolution skills
Strong research, writing and organizational skills
Experience with multiple investment products and asset types strongly preferred
Excellent interpersonal skills and ability to interact with members of senior management
The position will be located in either Fort Mill, South Carolina or San Diego, California