Securities Services / Institutional Trust and Custody Attorney Duties: Supports the Bank's Institutional Trust & Custody business. Interacts with sales, relationship, administration, operations, risk, and compliance staff; external customers; and external customers legal counsel. Negotiates complicated service contracts. Supports account onboarding and administration. Monitors the evolving regulatory and litigation environment and advises on complying with regulatory expectations and minimizing litigation risk. Advises on risk-control procedures and template service contracts. Contributes legal expertise to product development and novel account-investment transactions Supports responses to internal and external audits and administrative reviews, regulators exams, demands, litigation, regulatory action, and customer bankruptcy. Educates bank personnel about relevant legal topics. Manages outside legal counsel.
Basic Qualifications: Law Degree. Licensed by and in good standing with the appropriate State Bar association or other appropriate state attorney licensing authority. 5+ years of the in-house legal department or law firm experience advising financial institutions. Preferred Qualifications: Experience advising trustees, custodial banks, investment advisers, brokers, or insurance companies on investment ownership, registration, and administration. Expertise preferred in one or more of the following areas of law: fiduciary (OCC Reg. 9 and state trust law); insurance (state reinsurance and statutory-deposits regulation); securities (investment types, trading, settlement, 40 Act exemptions, Exchange Act Rule 15c3-3); Uniform Commercial Code (Article 9). Strong analytical skills. Ability to work independently. Comfort with and interest in working on a variety of legal matters. Excellent written, oral, and interpersonal communication skills. Strong commitment to client service.
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