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- Litigation and
Compliance, Progress
Energy Service Company
LLC

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Counsel Jobs > Managing Director, International & Cross-border Counsel Job in California > Managing Director, International & Cross-border Counsel

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YOUR WINDOW TO A WORLD OF OPPORTUNITIES

Managing Director, International & Cross-border Counsel

Refer job# GKVE149976

Managing Director, International and Cross-Border Counsel The candidate will serve as a member of Institutional & Retail Legal Group and oversee the cross-border legal work for the firm. This includes responsibility for guiding US broker-dealer's different business lines in serving clients in Asia-Pacific, the EU and UK, and Latin America. Serve as a strategic legal counselor for International Business, helping to devise long-term growth strategies. Assist in the designing and implementation of updated policies and procedures and controls for cross-border business pursuant to current country and product licensing research through direction of local counsel. Advise and partner with company's second line risk management functions including International Compliance and Enterprise Risk Management. Work with company in-house counsel for foreign affiliates. Handle day-to-day cross-border client, representative, and product issues for Investor Services (Retail), Advisor Services (Institutional), Stock Plan Services, and Retirement Plan Services businesses. Oversee the selection and management of outside counsel in dozens of jurisdictions, including keeping current a multi-jurisdictional survey and resource. Have daily interaction with business leaders and senior executives across the firm on all matters international and global. The candidate should have an undergraduate degree and J.D. degree with State Bar membership in good standing. Must have 8+ years of experience practicing law within diversified financial services. Should have experience in a top law firm and a broker-dealer or diversified financial services firm with a significant-sized broker-dealer handling a range of cross-border and international issues with a focus on Europe and Asia, or the equivalent as an associate or member of a private law firm. Financial regulatory experience with jurisdictions outside of the US, including establishing and maintaining licensed businesses and/or licensing exemptions is required. Substantial securities regulatory experience including broker-dealer is needed. Experience helping to design procedural and control framework to govern cross-border business working with Compliance and Business is essential. Experience counseling asset management and/or banking would be a plus. Application Deadline: June 26, 2020.

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