Assistant General Counsel Wealth Management

Help shape how wealth management advice is this role youll provide strategic legal counsel across broker-dealer bank fiduciary and registered investment adviser frameworks partnering with business and control functions to bring advisory strategies to market responsibly. Youll influence product design disclosures and distribution across retail and institutional channels. Join a collaborative team where your judgment directly enables growth innovation and strong client outcomes.

As aLegal Counsel for Wealth Management Investment Solutions (VP)inAsset & Wealth Management you will provide strategic and day-to-day legal counsel on matters impacting discretionary and non-discretionary advisory strategies for variousprograms distributed in the U.S. and internationally. You will partner closely with business leadership Compliance Risk and other control functions to support product development program governance regulatory disclosures and documentation across bank broker-dealer and RIA platforms.

Job Responsibilities

• Adviseon the creation maintenance and distribution of discretionary and non-discretionary advisory account programs including Unified Managed Account (UMA) structures.
• Counselon FINRA rules and Investment Advisers Act of 1940 requirements including fiduciary duty conflicts management disclosures marketing and program documentation for retail advisory clients.
• Supportthe design and ongoing governance of advisory solutions across bank broker-dealer and registered investment adviser platforms.
• Participate on special projects including migration of Bank managed accounts to an RIA model with Bank custody retained.
• Partneron initiatives to launch new non-discretionary advisory strategies and related program enhancements.
• Enableinternational strategy distribution by advising on incorporating advisory strategies for non-U.S. clients into existing RIAs.
• Supportnew product development by identifying legal/regulatory requirements early and proposing practical solutions.
• Negotiateand draft agreements including tailored investment management agreements and third-party manager agreements.
• Prepareand maintain regulatory disclosures and documentation including Form ADV brochures and related materials for relevant entities.
• Collaboratewith other Legal colleagues and control partners to identify escalate and resolve issues impacting the Investment Solutions business.
• Buildstrong relationships with senior leaders and stakeholders across Asset & Wealth Management to drive timely commercially thoughtful outcomes.

Required Qualifications Capabilities and Skills

• 4 yearsof investment management legal and regulatory experience (law firm investment manager serving retail clients and/or regulator/government agency).
• In-depth knowledgeof the Investment Advisers Act of 1940 and related SEC rules applicable to advisory programs.
• In-depth knowledgeof FINRA rules including sales practices suitability andRegulation Best Interest (Reg BI).
• Demonstrated abilityto advise on conflicts fiduciary considerations disclosures and marketing practices for retail advisory offerings.
• Experiencesupporting discretionary and/or non-discretionary advisory strategies and managed account program structures.
• Strong drafting skillsacross client-facing and platform documentation disclosures and negotiated agreements.
• Proven judgmentin balancing regulatory requirements with business objectives in a fast-paced environment.
• Excellent analytical and problem-solving skills with an ability to identify key issues and provide actionable guidance.
• Strong organizational skillsand ability to manage multiple matters and stakeholder expectations simultaneously.
• Collaborative mindsetand ability to partner effectively with Compliance Risk and other control functions.
• Bar admission required; attorney must be licensed and in good standing in the state/jurisdiction of the role (or compliant with applicable in-house counsel registration rules).

Preferred Qualifications Capabilities and Skills

• Part 9 bank fiduciary experience(or comparable bank fiduciary advisory experience).
• Experienceadvising across bank broker-dealer and RIA operating models in an integrated wealth management environment.
• Familiaritywith UMA structures and multi-manager/third-party manager program arrangements.
• Experiencesupporting custody and account administration considerations where custody remains with a bank while advice is delivered through an RIA.
• Exposureto cross-border/international advisory distribution considerations (non-U.S. clients and strategies).
• Track recordof supporting new product launches and complex change initiatives (migrations model changes platform integrations).
• Comfort working with AI capabilities and solutions with curiosity and willingness to learn and apply new tools in legal workflows.