Wealth Management and Broker Dealer Attorney - Vice President, Assistant General Counsel
Wealth Management and Broker Dealer Attorney - Vice President, Assistant General Counsel
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Job Description
As a Wealth Management Financial Products and Regulatory Attorney - Vice President Assistant General Counsel within our Wealth Management Legal team you will provide critical analysis and discussion of wealth management-specific regulatory issues ongoing support of investment products distribution issues and the creation review and general support of relevant transactional and regulatory documents. You will provide direct advice and support to internal Wealth Management and Products Solutions clients including Advisors Sales Management Operations Risk and Controls as will work closely with colleagues on the US Wealth Management and Product Legal teams and collaborate with Compliance Risk and Controls functions to ensure comprehensive and effective support.
The Legal Department at JPMorgan Chase & Co. manages legal and other risks advises on products and services interprets laws and regulations that impact the firm and advises the firm on other matters. Our global team is made up of 2000 lawyers and legal professionals with a reputation as thought leaders who deliver best-in-class services. As trusted advisors we help the firms clients while also safeguarding the integrity of the firm. We are committed to a culture of inclusivity and belonging where people can grow and succeed throughout their careers while working for a first-in-class financial institution doing cutting-edge work. If these values resonate with you we would like to hear from you.
Job responsibilities
- Serve as primary legal contact for guidance related to financial products including investment advisory programs and brokerage products.
- Interpret existing contemplated and proposed laws rules and regulations advising on changes.
- Provide strategic advice onregulations related towealth management to business partners and senior leaders.
- Collaborate with US Wealth Management and Product Legal teams.
- Work closely with Compliance Risk and Controls functions.
- Manage legal and other risks advising on products and services.
- Participate in special projects outside of normal responsibilities.
- Adapt to evolving business needs and priorities.
- Ensure comprehensive support for Advisors Sales Management Operations Risk and Controls.
Required qualifications capabilities and skills
- At least 8 years of legal practicing experience at a law firm financial institution government agency regulator and/or self-regulatory organization with demonstrated financial services experience.
- Experience in broker-dealer and investment advisory matters including knowledge of federal and state securities laws and regulations including FINRA rules.
- Knowledge of state insurance regulations.
- Proficient in handling a large number of issues and competing priorities in a fast paced and rapidly evolving environment.
- Ability to understand business needs and partner with key stakeholders to create solutions.
- Excellent communication skills (verbal and written) with the ability to interact effectively and professionally at all levels
All candidates for roles in the Legal department must be licensed to practice law in the country of employment and successfully complete a conflicts of interest clearance review prior to commencement of employment.
Required Experience:
Chief
Employment Type
Full-Time
