Description:

Job Overview:
The Assistant Vice President, Assistant General Counsel in the firm's Early Dispute Resolution (EDR) group is responsible for a broad range of in-house legal services, with primary focus on responding to investor complaints, including both sales practice and operational complaints, regulatory inquiries and defending the firm and its advisors in litigation. Responsibilities also include rendering legal advice and counsel to the company and business units while working to achieve equitable resolution of claims.

This role will report to a Vice President, Associate Counsel within the Early Dispute Resolution Group in the firm's Compliance, Legal and Risk Department. The role will require frequent interaction with the firm's compliance, operations, and supervision teams. The successful candidate will have a business-oriented approach and mindset in developing and delivering legal solutions. Additional responsibilities include working with Advisors to resolve a myriad of sales practice and operational complaints.

Responsibilities:

Evaluate legal, financial, regulatory and reputational risk and escalate to senior management as needed.
Coordinate with compliance, legal and risk partners and other business units.
Adapt quickly to changing environments and independently manage investor complaint case load assignments.
Handle client contact in a professional, courteous, and confidential manner.
Ability and versatility to handle other assignments, cases and matters within litigation.

What Are We Looking For?
We want strong collaborators who can deliver a world-class client experience. We are looking for people who thrive in a fast-paced environment, are client-focused, team oriented, and are able to execute in a way that encourages creativity and continuous improvement.

Requirements:

Juris Doctor degree
Admission in good standing to a State Bar
5+ years' experience working in-house at a broker/dealer, securities related regulatory entity, or a law firm, and preferably at least significant exposure to litigation practices and procedures

Core Competencies:

Possess superior judgment and aptitude for evaluating and addressing investor complaints in a timely and substantive manner, as well as ensuring compliance with all FINRA regulatory reporting requirements that relate to investor complaints.
Knowledge of brokerage account regulations and compliance.
Should have good interpersonal skills and ability to interact with members of senior management.
Excellent negotiation skills.
Strong research, writing and organizational skills.
Ability to work independently while managing a significant case load.

Preferences:
Experience with multiple investment products and asset types