Senior Counsel - Law & Legal Services Department
Summary:
Serve as a key legal advisor to a multi-state dually registered broker/dealer and investment advisor and its affiliates by delivering counsel to support the firm’s business operations. This leadership role involves navigating complex legal and regulatory issues, conducting in-depth legal analysis, and managing internal legal services personnel with a primary focus on the financial services industry.
Essential Duties & Responsibilities:
- Provide high-level legal counsel and support to all aspects of the firm’s business, including business transactions and regulatory compliance.
- Develop and implement solutions to mitigate and eliminate risk.
- Collaborate with and support internal business units, including firm management, compliance, operations, and human resources.
- Draft, review, and negotiate agreements and firm documents.
- Conduct legal research and analysis.
- Lead and support internal investigations.
- Support employment-related matters, including agreements, disputes, registration, recruiting, professional onboarding, and succession planning.
- Develop and implement policies for senior and vulnerable client protection.
- Supervise other legal personnel with responsibilities relating to client complaints, trusts and estates, subpoenas, regulatory reporting, operational issues and other legal matters, and ensuring timely and professional responses.
- Oversee litigation strategy, discovery, and manage outside counsel.
- Represent the firm in legal and regulatory matters, including communicating with industry regulators.
Qualifications:
- General experience in various legal areas including estate matters, transactional and contract law, employment law, and intellectual property law.
- In depth understanding of financial products, solutions and services, and securities industry regulatory compliance.
- Litigation and litigation management skills are preferred.
- Superior oral, written and interpersonal communication skills.
- Ability to work collaboratively across all levels of an organization and the flexibility to adapt to and lead through change.
- Experience managing support staff, including lawyers, paralegals and other personnel.
Education and/or Work Experience:
- Minimum Education Required: Juris Doctor degree
- Minimum Work Experience Required: 7 years of legal experience; minimum of 5 years of experience in the financial services industry.
- Experience working in an in-house is not required but is preferred.
Licenses/Registration:
- Minimum Required: Member in good standing of the Missouri Bar
- Obtaining securities industry registration: FINRA SIE, FINRA Series 7 and FINRA Series 24, preferred
Work Environment:
This position requires the ability to work in a stationary position for several hours at a time and the ability to lift up to 25 pounds, occasionally. Some filing is required. The work environment is an air-conditioned, smoke-free, office environment. This position routinely uses standard office equipment such as computers, phones, photocopiers and filing cabinets.
About Benjamin F. Edwards
If you are interested in joining a different kind of firm that truly puts the interests of its advisors and clients first, you have come to the right place. Founded in 2008 and serving more than 300 advisors with over $45 billion in assets, Edwards has the scale our advisors expect and the ability to deliver the personal touch and concierge-level service our clients deserve.
We are a firm that values our legacy of family and colleagues and cherishes an environment where all succeed through collaborative support. To us, legacy is not only about the past - it is building an experience that prepares all of us, and our clients, for the future.
We invest in our team and recognize and appreciate the value of hard work. The rewards of the job are founded in the difference you will make in the lives of our clients and extend throughout a culture that inspires you to learn, grow, and be your best. Having fun is part of the firm’s mission statement.
We offer a comprehensive benefits package which includes health, dental, vision, 401(k), life insurance, disability, and paid time off.
Our client-first mission is grounded in the Golden Rule; when you join Benjamin F. Edwards you are well cared for, and we welcome all applicants with the skills, experience, and enthusiasm to do a great job regardless of race, color, religion, gender, sexual orientation, national origin, genetics, disability, age, or veteran status.
Benjamin F. Edwards is an Equal Opportunity Employer.
#LI-Onsite
Skills Required
- Juris Doctor degree
- At least 7 years of legal experience
- At least 5 years of experience in the financial services industry
- Member in good standing of the Missouri Bar
- General legal experience including estate matters, transactional and contract law, employment law, and intellectual property law
- In-depth understanding of financial products, solutions, services, and securities industry regulatory compliance
- Superior oral, written, and interpersonal communication skills
- Ability to collaborate across organizational levels and lead through change
- Experience managing lawyers, paralegals, and other support personnel
- Litigation and litigation management skills
- In-house legal experience
- FINRA SIE registration
- FINRA Series 7 registration
- FINRA Series 24 registration
What We Do
Benjamin F. Edwards is a growing, national wealth management firm that is committed to putting its clients’ interests first. We manage both a traditional full-service brokerage firm, as well as our independent advisory arm, Edwards Wealth Management, launched in 2019. Our goal is to provide the right structure and a home for every advisor and every client.
