Do you have experience with legal and regulatory matters related to wealth management business in the broker/dealer world? Are you interested in supporting a growing international business? We’re looking for someone like that to:
– advise senior International and business management on day-to-day issue of US and non-US securities, broker-dealer and investment advisory laws in connection with the delivery of wealth management solutions to high net worth and ultra-high net worth foreign and domestic clients holding assets in the US.
–support our strategic initiatives and projects with affiliates globally, typically in a cross-border context.
– act as point of entry for legal and regulatory matters from branches, supporting the business in implementing the regulatory framework and managing day to day broker/dealer issues with respect to documentation, referrals, and all rules relating to international wealth management business.
– work with outside counsel and colleagues in multiple countries to draft and maintain rules for the cross-border provision of financial services from the US.
– advise on maintenance of FINRA-registered office locations in foreign jurisdictions, working with outside counsel to advise on all aspects of compliance with laws of the foreign jurisdictions, including litigation and regulatory risks.
– organize legal research used by the Cross-Border & International Legal team and assist with managing group projects.
You will be part of the Global Wealth Management & Asset Management Cross-Border Legal Team, led by the Global Head of Cross-Border Legal who reports into the General Counsel of Global Wealth Management. The team is unique in GWM in that it is a truly global team, with lawyers sitting in the U.S. as well as Switzerland and Asia.
– driven and passionate about your work
– focused on detail and organized
– eager to enjoy your working environment and colleagues as you facilitate business and protect the firm as a team
– comfortable providing advice by phone or in person to all levels of employees
– worked as in-house counsel within an international bank, major law firm or securities regulator for 3-5+ years
– experience in a broker/dealer and/or asset manager as legal counsel or as outside counsel to a broker/dealer as a regulator in the industry (including some experience with Securities Act of 1933, 1934, 1940)
– experience with cross-border license and registration issues
– hold a US law degree or equivalent with US experience
– able to successfully attain quality advice from regulators and external legal counsels
– motivated and skilled at driving a proactive solution-orientated process
– fluency in Spanish or Portuguese a strong plus
– international tax experience a strong plus