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Wealth Management Counsel
Location : California, San Francisco
Refer job # DYCD339763

Job Responsibilities and Requirements: Essential Job Functions Provides counsel, guidance, and support to Bank officers and executives on the legal implications of business issues and initiatives, with a focus on risk management and loss mitigation. Provides advice on FINRA regulations, SEC rules and regulations, and other laws or regulations (State and Federal) relating to retail broker-dealer and investment adviser activities, including ERISA investment-related matters and regulations issued under the Dodd Frank Act. Provides advice on the drafting and filing of regulatory forms including ADV filings for the RIA and on potential products and services to be offered within wealth management. Advises senior management on industry developments pertinent to areas of responsibility, including the implications for the Bank and possible related strategic and/or tactical actions. Provides legal advice on transactions or contracts involving the Banks Wealth Management activities, including broker-dealer operations. Retains and manages outside counsel as warranted; actively manages and oversees outside counsel s budget and work product; provides direction and strategy to outside counsel. Keeps informed of legislative and regulatory proposals that would affect the Banks wealth management operations, with a focus or broker dealer and registered investment advisor functions. Studies proposed and existing legislation and regulations affecting the Bank, and counsels management regarding impact. May advise on key regulatory issues and trends and manage regulatory issues and relationships. Prepares and reviews various transaction agreements, contracts, regulatory applications, documents, analysis, memoranda, and correspondence. Support other projects, handle other legal issues, or advise other business units as needs arise. Be flexible and willing to develop expertise in areas outside of wealth management, as needed. #LI-JY1 Job Specifications Qualifications Ideal candidate will have experience with securities law and with broker/dealer and Registered Investment Adviser regulation. Candidate must become a member of the California Bar or otherwise qualify to practice law in California as house counsel. Superior academic credentials from a top law school. 8 years in legal practice. Experience with large law firm and/or large financial institution legal department strongly preferred. Administrative / Technical Skills Excellent analytical and research skills Excellent oral and written communication skills Excellent interpersonal skills Team player High level of professionalism Ability to inspire confidence at all levels of the organization A driver of results and focus on customer service Adaptable and flexible work-style with a proven ability to handle competing demands and priorities Able to successfully navigate changing environments and perform in a fast-paced setting Work history indicates a demonstrated track record of performance Excellent negotiation, planning, and organizational skills Good computer skills Education J.D. from a top law school Candidate must be a member of the California Bar or otherwise qualify to practice law in California as house counsel The above statements are intended to describe the general nature and level of work being performed.



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