Vice President, Assistant General Counsel, Brokerage
Confidential
Vice President, Assistant General Counsel, Brokerage
About the Company
Profitable broker & financial advisory firm
Industry
Financial Services
Type
Public Company
Founded
1989
Employees
5001-10,000
Categories
- Financial Services
- Consulting & Professional Services
- Brokerage
- Finance
- Investment Banking
- San Diego
- Employee Advisor
- Financial Advisor
- Financial Professional
- LPL
- LPL Financial
- Linsco Advisor
- Linsco Private Ledger
- RIA
- Registered Investment Advisor
- Strategic Wealth Services
- Strategic Wealth Services Advisor
- Investing
- Financial Advisers
Specialties
- independent broker/dealer
- institution services
- ria
- independent advisors
- custom clearing services
- and financial services
Business Classifications
- B2B
About the Role
The Company is seeking a Vice President, Assistant General Counsel for Brokerage to join its corporate legal advice team. The successful candidate will be responsible for providing strategic legal advice and support primarily to the broker-dealer business, with some involvement in the investment advisory business. This role requires a seasoned attorney with 5-10 years of experience in securities law, including the Securities Exchange Act, Investment Advisers Act of 1940, FINRA rules, and related federal and state securities laws. The VP will be involved in a range of legal matters, from day-to-day support and legal analysis to internal merger and acquisition projects, and will be expected to manage a substantial docket autonomously. Key responsibilities for this position include advising on legal and regulatory implications of business migrations, repapering efforts, and operational changes, as well as drafting and modifying client agreements, account documentation, and regulatory filings. The ideal candidate will have a strong background in legal writing, research, and communication, and be experienced in interacting with regulatory bodies such as the SEC and FINRA. The role demands a highly motivated individual with the ability to work both independently and as part of a team, and who can provide viable solutions in a time-sensitive environment. Proficiency in MS Office is required, and a strong interest in developing AI proficiency is preferred. The candidate should be a collaborative professional with a focus on delivering exceptional client experiences and be driven to help the company's clients succeed.
Hiring Manager Title
Senior Vice President
Functions
- Legal
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