Teams at Benjamin F. Edwards

Supports counsel and the Manager of Legal Services by analyzing legal, regulatory, compliance, and client-account matters. Responsibilities include responding to inquiries, complaints, subpoenas, examinations, and disputes; researching legal issues; preparing regulatory filings; managing account restrictions and vulnerable-adult matters; supporting investigations and litigation; coordinating with outside counsel, regulators, clients, and internal teams; and maintaining legal records.

Provides senior legal counsel to a multi-state broker/dealer and investment adviser, advising on transactions, regulatory compliance, risk mitigation, contracts, employment matters, investigations, client protection policies, litigation, and industry regulators. Supervises legal personnel, manages outside counsel, oversees complaints and subpoenas, and supports business units across the organization. Requires a Juris Doctor, Missouri Bar membership, at least seven years of legal experience, and five years in financial services.

Provides legal counsel to a multi-state broker/dealer and investment advisor, handling regulatory matters, agreements, legal research, subpoenas, court orders, investigations, filings, and outside counsel management. The role supports firm divisions, responds to inquiries, advises on third-party legal actions, and manages complex financial-services legal matters.