Known for its strong, ethical business practices and client focus, this Company fosters a collaborative, team-oriented environment that rewards and recognizes individual achievement. As a member of the Company’s Securities Regulation broker-dealer team, the selected candidate will work with a group of eight talented professionals who share a commitment to excellence, and represent the Company and its subsidiaries on a variety of broker-dealer matters.
As Associate Counsel the selected candidate will have primary or support responsibilities for a wide range of retail brokerage and fund distribution activities, including:
- Drafting and negotiating mutual fund supermarket service agreements.
- Advising on the distribution and marketing of investment products and services, including mutual funds, annuities and 529 Plan securities.
- Working with the Compliance Department and business units to interpret and implement FINRA, MSRB and SEC rules relating to broker-dealer activities, including licensing, sales practices, advertising, net capital, and customer protection and margin requirements.
- Advising the brokerage operations unit on clearance and settlement matters.
- Drafting, reviewing and negotiating required documents for the resale of restricted securities, certain corporate actions and other special transactions.
- Advising on fixed income and equity trading issues.
- Advocating on behalf of the Company with regulatory authorities.
- Educating officers and other employees as needed on legal issues.
Law degree (J.D. or equivalent) and 2-5 years of securities law experience, with an emphasis on broker-dealer regulatory matters at a mid- to large-sized law firm
Exceptional leadership, organization and interpersonal skills
Demonstrated ability to influence
Ability to work quickly and independently with attention to detail and sensitivity to deadlines
Demonstrated client relationship and communication skills
The Employer offers a competitive total rewards package of cash compensation, benefits, work-life programs, and conveniences. Employment is contingent on a successful drug-screening result, and they maintain a smoke-free work environment. Company is an equal opportunity employer committed to diversity in the workplace.
This Company offers individual and institutional investors a line of popular mutual funds and brokerage services. Claiming more than $1 trillion of assets under management, the firm is battling for the title of largest retail mutual fund manager on the planet. Their fund options include more than 180 stock, bond, mixed, and international offerings, as well as variable annuity portfolios.
The company is known as much for its puritanical thriftiness and conservative investing as for its line of index funds, which track the performance of such groups of stock as the S&P 500. The Company’s legal department is comprised of about 80-90 attorneys.
