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Legal Counsel - Retail Banking & Wealth Management
Refer job# VEVE142937
 
Legal Counsel - Retail Banking & Wealth Management Duties: Provides legal advice, guidance and support to HSBC Securities (USA) Inc.s Wealth Management business, which is part of the HSBC Retail Banking and Wealth Management ( RBWM ) global business line, to ensure that exposure to legal risk is managed. Provide counsel and legal support on a variety of legal matters, which may be complex or may have a material impact on the business, including matters pertaining to the provision of retail brokerage and investment advisory services to customers of an affiliated retail bank. Areas of responsibility will include advising the business on SEC, FINRA and bank regulations applicable to the sales of investment products, including mutual funds, variable annuities, structured products, fixed income products, equities, private placements, and managed products to retail, mass affluent and high net worth customers. Advise the Wealth Management business by ensuring that commercially sensitive, pragmatic and practical legal support and advice is provided in a cost-effective manner. Provide support and guidance to the business with regard to legal risks arising in jobholders area of expertise. Provide prompt, commercial, practical and sometimes complex and/or specialized legal advice to the RBWM business (under the supervision of the Head of the Wealth Management Legal Team). Be pro-active in the provision of legal support and in advising the RBWM business promptly of material legal developments and their implications. Ensure the Head of the Wealth Management Legal Team and senior legal management are fully briefed on major issues arising in the relevant business area and major legislative changes in area of expertise. Support and assist the Head of Wealth Management Legal Team in managing legal risk across the lines of the Wealth business and support functions in accordance with established policies and procedures. Maintain and develop positive and professional working relationships with all members of the Legal Team in managing legal risk across the lines of business in accordance with established policies and procedures. Participate effectively as part of the RBWM Wealth Management Legal Team. Share legal knowledge and best practices with legal colleagues. Manage internal support staff. Provide legal services in a cost-effective manner. Co-ordinate and manage the approach to legal risk for the RBWM business and related marketing teams. Ensure that the interests of the are adequately protected. Assist the RBWM business and marketing teams to remain compliant with legal risk management requirements set out in the Group Standards Manual and Legal FIM. Maintain awareness of the operational risk scenario associated with the role and to ensure that all actions during employment with HSBC take account of the likelihood of operational risk occurring. Support the General Counsel of RBWM in providing overall leadership over all regulatory and compliance matters and the management of operational risk for the department or RBWM business and related marketing teams.

Qualifications: JD Degree as well as admission to applicable state Bar and pertinent levels of courts in applicable states. FINRA registrations a plus. 4-10 years of experience (including time spent with a with major law firm, or a securities regulator, or as in-house counsel to a financial institution) representing financial institutions regarding retail brokerage activities, investment advisory sales of managed accounts, regulatory enforcement matters and related matters. Strong background in SEC and FINRA regulations required. Additional specific experience in related areas of bank regulation applicable to the sale of investments on bank premises, or insurance regulations relating to the sales of annuities is a plus, though not required. Strong advocacy, negotiation, interpersonal, organizational, legal research and verbal and written communication skills. Ability to quickly apply abstract concepts of law and make quick, innovative decisions to resolve problems. Ability to defend the Company and Group affiliates from claims and advocate their interests while maintaining their reputation for honesty and integrity. Active participation in Bar association and/or industry committees working on wealth management issues preferred. Ability to adapt work style to meet complex and varied workloads. Ability to prioritize workloads in terms of legal risk and commercial consideration. Maintain knowledge of *** operations and policies. Ability to think independently being mindful of maintaining an appropriate balance between management and mitigation of legal risk and business efficacy. Deepening knowledge of areas of specialty with ability to take a view as to how law is developing in order to advise client and reach a solution. Increasing ability to handle more complex tasks with less supervision. Enhanced relationship with higher levels of management inspiring confidence of customers/stakeholders. Ability to balance the need for further analysis and the need for a timely decision given commercial pressures. Unposting Date : 14-Mar-2019, 09:29:00
 
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