Corporate Counsel I The candidate will provide research, factual information, counsel and guidance on legal and regulatory questions or issues, primarily in support of the banks investment management area, including investment advisory, retail brokerage, asset management and insurance services. Will work under general supervision and is responsible for dealing with complex legal matters. Identifies and analyzes more complex or novel matters which have no clear legal/business precedent or have different possible interpretations; develops conclusions, makes recommendations, and provides reliable advice to the banks lines of business and departments. Drafts and reviews memoranda and initial drafts of legal documents and revises legal documents and concise written materials that can be submitted to the customer with minimal, or no revisions, or review by a more senior attorney. Provides full, sound, ethical and prompt legal service and opinions to clients in relation to laws and regulations pertaining to investment advisory and retail brokerage services, as well as insurance. Produces clear and concise written materials that can be submitted to the customer with minimal or no revision or review by a more senior attorney. Works directly with business clients and develops an understanding of business unit needs and products. Contributes advice and counsel on policy and procedures. Monitors changes in state laws and federal regulations. Work assignments consist of major legal tasks involving problems of recognized complexity and facts that are occasionally in question, for which considerable legal judgment, experience and independent reasoning is required. Must control the legal expenses on matters being handled by outside counsel. Identifies issues which do not need legal assistance, by assessing the costs of outside legal services which are required in specific instances, by providing legal services in-house, and by directing and supervising outside counsel to ensure that the fees charged are accurate. Is then responsible for resolving any disputes relating to the fees incurred on that file. Team player able to work with multiple product teams and operations groups.
Qualifications: A JD Degree or an LLM (excellent academic standing) from an ABA accredited law school. An active license to practice law in at least one state in the U.S. 3+ years of experience with federal laws and regulations applicable to broker dealers and investment advisors. Desired Skills: Experience with insurance laws and regulations. Some knowledge of federal laws and regulations applicable to a bank or bank holding company.
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