Under general direction with a high level of autonomy,
provide legal advice and counsel to Raymond James & Associates’ Fixed
Income Department including i) drafting, reviewing and negotiating a wide
variety of contracts in connection with the Fixed Income department’s
sales and trading businesses, including data and services contracts, NDA’s and
miscellaneous one-off agreements, ii) drafting, reviewing and negotiating sales
and trading agreements, such as ISDA Master Agreements, MSFTA’s, repo
agreements and various customized agreements, iii) analyzing and advising with
respect to broker-dealer regulatory (including both existing and new
regulations), employment, litigation and other issues that may arise in
connection with the broker-dealer’s taxable and municipal sales, trading, swaps
and taxable debt origination businesses. Responsibilities may also include
some support of our public finance underwriting business as well as undertaking
projects with significant business impact. This role requires extensive
contact with internal customers, Raymond James management, counterparties and
Essential Duties and Responsibilities:
· Review, draft, and negotiate a wide range of agreements for
the Fixed Income Department with an emphasis on sales and trading agreements.
· Review documents and provide legal advice in connection with
Department’s taxable debt origination business, including interacting with
· Review documents and provide legal advice in support of the
Department’s public finance activities.
· Analyze statutory and regulatory
regimes to effectively protect the Department and the firm.
· Provide ongoing advice, counsel
and recommendations to Department personnel and management on various legal and
regulatory issues as relevant to the Department’s business.
· Work with outside counsel in connection with Fixed Income
Department business as well as specific legal and regulatory issues.
· Lead or participate in projects to find solutions, implement
processes and comply with regulatory requirements applicable to the Department and
· Maintain currency in laws and regulations related to Fixed
Income and the securities industry.
· Operate standard office equipment and use required software
· Perform other duties and responsibilities as assigned.
Knowledge, Skills, and Abilities:
·Advanced investment concepts, practices and
procedures used in the securities industry.
·Advanced principles of banking and finance and securities
·Advanced financial markets and products.
·Perform legal review.
·Providing legal representation.
·Reviewing potential legal issues related to
assigned functional area(s) and providing recommendations for resolution.
·Preparing and delivering written and oral
presentations to internal customers including management and senior management.
·Operating standard office equipment and using
required software applications.
·Lead the work of others.
·Provide training in assigned functional area(s).
·Coach and mentor others.
·Direct the activities of outside counsel.
·Maintain currency in laws and regulations
related to assigned functional area(s).
·Partner with other functional areas to
·Facilitate meetings, ensuring that all
viewpoints, ideas and problems are addressed.
·Gather information, identify linkages and trends
and apply findings to assignments.
·Read, interpret, analyze and apply contract law
and customer arbitration information.
·Interpret and apply policies and identify and
recommend changes as appropriate.
·Prioritize and manage multiple priorities in a
fast-paced, dynamically changing environment
·Communicate effectively, both orally and in
·Work independently as well as collaboratively within
a team environment.
·Handle stressful situations, a heavy diverse
case load and provide a high level of customer service in a calm and
·Establish and maintain effective working
relationships at all levels of the organization.
Educational/Previous Experience Requirements:
·Juris Doctorate with excellent academic
credentials and minimum of four (4) years of progressively responsible
experience in relevant practice area.
· Experience in financial services highly preferred
Ability to obtain Authorized House Counsel.