Overview

Position Description
 

The successful candidate for this position will be a member of the US Wealth Management Legal team that is responsible for supporting the Firm’s Chase Wealth Management, J.P. Morgan Securities, and Private Bank LOBs.  The successful candidate will provide legal advice and support to internal Wealth Management clients, including Advisors, Sales Management, Operations, Risk, Controls, and additional clients as needed.  The candidate will work closely with colleagues on the US Wealth Management Legal team and collaborate with Compliance and Risk to ensure comprehensive and effective support. 

 
Responsibilities
 

Responsibilities will include handling escalations sent to the US Wealth Management Legal team, leading a wide range of business and regulatory projects, and assisting with client issues.  The successful candidate will be organized, attentive to detail, exercise sound decision-making, and escalate issues when appropriate.  The successful candidate will have a high level of energy and the flexibility to work in a high-paced, deadline-driven organization, where timely execution of high-quality work product is expected.  The responsibilities are:

  • Working closely with others to coordinate various projects relating to regulatory requirements in the wealth management space
  • Advising the wealth management businesses on a wide range of legal issues including advisory and brokerage products, services, and operations

  • Identifying potential issues and working with appropriate business partners to provide solutions
  • Facilitating working group meetings with key stakeholders
  • Communicating with senior leadership and business partners regarding high-level legal projects and issues
  • Working on special projects outside of normal responsibilities and ability to adapt as needed.

Qualifications

  • At least 5 years of practicing experience at a law firm, financial institution, government agency, regulator and/or self-regulatory organization with demonstrated wealth management experience
  • Experience in broker-dealer and investment advisory matters, including knowledge of the Securities Act, Securities Exchange Act, Investment Advisers Act of 1940, Investment Company Act and FINRA rules and regulations
  • Proficient in handling a large number of issues and competing priorities in a fast paced and rapidly evolving environment
  • Ability to understand business needs and partner with key stakeholders to create solutions

  • Excellent communication skills (verbal and written) with the ability to interact effectively and professionally at all levels
  • JD Degree
  • All candidates for roles in the Legal department must successfully complete a conflicts of interest clearance review prior to commencement of employment
  • Attorney must be licensed to practice law and a member in good standing in in the state/jurisdiction in which the position is based or otherwise in compliance with the in-house counsel registration rules of that state/jurisdiction

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