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General Counsel Consulting

General Counsel
Consulting
provided
exceptional
service in helping
my organization
recruit for a hard
to fill position.
They did extensive
work on the front
end to understand
our needs and
our culture and
began referring
highly qualified
candidates almost
immediately.

Melinda Burrows
Deputy General Counsel
- Litigation and
Compliance, Progress
Energy Service Company
LLC

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Counsel Jobs > Corporate/Counsel/In House/Minneapolis, Minnesota Job in Minnesota > Corporate/Counsel/In House/Minneapolis, Minnesota

In House Legal Job Listings

YOUR WINDOW TO A WORLD OF OPPORTUNITIES

Corporate/Counsel/In House/Minneapolis, Minnesota

Refer job# YFWU89784

Counsel - Investment Adviser's Act Candidate will play a key role in providing legal support, benchmarking and thought leadership to businesses developing and maintaining managed accounts, including retail discretionary and non-discretionary offerings. Collectively manage approximately $150 billion in invested assets, making Financial the largest independent broker-dealer (IBD) in the managed account space. Will also support and continue to develop industry leading financial planning business. Provide advice on key regulatory matters, will seek to influence the development of regulatory policy and will be a crucial advocate and participant in industry committees. Responsibilities include providing legal advice on managed account alternatives, including discretionary and non - discretionary fee-based offerings, SPS Advantage, Active Portfolios and Separately Managed Accounts; advising senior business leaders on legal, regulatory and business acquisition issues relating to company s core value proposition of providing comprehensive financial planning to clients; cultivating and promoting relationships with key business partners and fostering and promoting a culture of compliance; conducting research regarding legal and regulatory requirements as well as benchmarking industry practices; collaborating with Compliance personnel on relevant compliance related matters and identifying, developing and implementing control enhancements and risk mitigation strategies; interacting with federal, state or SRO regulatory personnel to respond to regulatory requests examinations or inquiries or to participate in committee work; providing support and direction to direct and indirect reports; working with regulators, outside counsel and independent experts from time to time on examinations and other issues. Candidate should have a J.D. degree with extensive experience and expertise in the Investment Adviser's Act of 1940, state securities and investment management statutes and regulations, and applicable self-regulatory organization rules. 7-10 years of experience as a practicing attorney supporting the financial services industry is essential. Should be admitted to practice law in the state of Minnesota or eligible for admission as house counsel. Participation/experience on industry committees (such as SIFMA, NASAA, FINRA or others) is preferred.

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