Job Description Summary
Represents the firm in regulatory inquiries/enforcement matters, and conducts internal reviews primarily related to Bank of Americas Global Wealth businesses. Individuals in this position typically have a minimum of five years of experience since admission to the Bar.
- Manage large docket of matters, effectively utilizing strong project and time management skills and employing sound business judgment on a day-to-day basis with limited supervision.
- Respond to inquiries from Federal and State regulators and law enforcement, including conducting factual investigation, analysis and legal research, drafting responses, preparing and representing employees at testimony before regulators, driving strategy, and negotiating resolution of regulatory matters on behalf of the firm.
- Conduct internal reviews, including performing factual investigations, analysis and legal research, interviewing employees, and identifying risks to the firm and potential remedial measures.
- Advise and assist Compliance in regulatory examinations including written submissions and preparing witnesses.
- Report to senior management and support partners on legal risks presented by regulatory matters and appropriate strategy. Must be able to communicate complicated legal issues in a clear and effective manner to business clients, support partners, and other attorneys, both in oral and written presentations.
- Close management and supervision of outside counsel on all aspects of representation, ranging from legal strategy to appropriate budgets.
- Ability to timely escalate issues and seek guidance (when necessary).
- Must have JD from an ABA Accredited institution.
- Admitted to State Bar in good standing.
- Minimum of 3-5+ years of experience responding to regulatory inquiries, handling enforcement actions, and conducting internal reviews related to wealth management businesses.
- Exceptional written and oral communication and advocacy skills with ability to communicate crisply and candidly to a broad audience including senior management and support partners.
- Sound judgment and capability to work with speed and handle multiple matters at once.
- Strong negotiating skills.
- Knowledge of securities laws and regulations, and outstanding research and writing skills.
- Professional attitude and strong work ethic.
- Experience in SEC/FINRA enforcement matters involving wealth management businesses preferred.