Senior Assistant General Counsel

Job Description Summary

Under general direction and with a high level of autonomy, uses extensive knowledge and skills obtained through education and experience to manage legal matters that involve Fixed Income Capital Markets division of Raymond James (FICM) (the “assigned functional area(s)”). Legal matters are primarily transactional, in support of the institutional FICM sales and trading desks and underwriting and investment banking, but also includes support on litigation or regulatory matters. Transactional matters include drafting, reviewing, and advising on a variety of agreements ranging from NDAs and engagement letters to more complex securities transaction-related documents, including MSFTAs, MSDAs, or securitization documents. May lead major projects, programs or processes that have significant business impact and involve cross-functional teams. Influences strategic direction, develops tactical plans, and completes complex assignments with substantial latitude for unreviewed actions or decisions. Provides comprehensive solutions to complex problems or needs. End results are evaluated for achieving goals and objectives. Maintains extensive contact with internal customers, Senior Management, and outside counsel to identify, research, analyze and resolve complex legal issues with significant impact.

Job Description

Responsibilities:

• Provides advice and counsel to the assigned functional area(s), and recommendations to Senior Management on corporate action.
• Partners with business and control functions including legal, compliance, supervision, risk, and audit to manage the FICM legal matters (transactional, litigation, regulatory) and consider actions to enhance policies, procedures, and controls.
• Drafts, reviews, and advises on a variety of agreements ranging from NDAs and vendor agreements to complex securities transaction-related documents.
• Oversees and manages outside counsel in activities associated with the assigned functional area(s).
• Relying on strong critical thinking and legal analytical skills, drafts, reviews, edits, and negotiates a wide-range of agreements between Raymond James and third-parties.
• Coaches and mentors others. Provides guidance and direction to Legal department staff by developing continuing education programs and career development opportunities.
• Interprets, applies and recommends changes to organizational policies and procedures.
• Balances conflicting resource and priority demands.
• Manages portfolio of legal matters that involve the assigned functional area(s). Keeps management apprised of developments.
• Determines the allocation of legal reserves when applicable.
• Oversees the maintenance of case status reports, if applicable.
• Assists others in developing, preparing, and presenting legal theories and strategies.
• Prepares and delivers written and oral presentations to Senior Management on legal issues.
• Maintains currency in corporate and financial securities regulatory law and advises the organization with respect to the current or proposed rules and regulations.
• Performs other duties and responsibilities as assigned.

Knowledge of:

• Advanced concepts, principles and practices of corporate, securities and regulatory law affecting financial institutions including regulations affecting broker-dealers.
• Advanced investment concepts, practices and procedures used in the securities industry.
• Advanced principles of banking and finance and securities industry operations.
• Advanced financial markets and products.

Skill in:

• Managing a heavy volume in a rapidly evolving regulatory and business environment.
• Drafting, reviewing, and negotiating agreements and transaction-related documents.
• Developing, preparing and presenting legal theories and strategies.
• Researching and analyzing laws and regulations related to a broker-dealer and/or the assigned functional area, if applicable.
• Preparing and delivering written and oral presentations on legal issues to associates of all levels.
• Operating standard office equipment and using required software applications, including legal case management software and Microsoft office.

Ability to:

• Provide legal advice, counsel and recommendations in transactional and regulatory matters.
• Interpret, apply and recommend potential changes to organizational policies and procedures.
• Provide legal advice, counsel and recommendations to Senior Management on significant issues.
• Balance conflicting resource and priority demands.
• Partner effectively with other functional areas to accomplish objectives.
• Facilitate meetings ensuring that all viewpoints, ideas and problems are addressed.
• Gather information, identify linkages and trends and apply findings to assignments.
• Read, interpret, analyze and apply complex legal information.
• Prioritize and manage multiple priorities in a fast-paced, dynamically changing environment.
• Communicate effectively, both orally and in writing.
• Work independently as well as collaboratively within a team environment.
• Handle stressful situations and a heavy diverse workload.
• Provide a high level of customer service in a calm and professional manner.
• Establish and maintain effective working relationships at all levels of the organization, including negotiating resources.

Educational/Previous Experience Requirements
• Juris Doctorate with excellent academic credentials and minimum eight (10) years of specific experience in the relevant practice area(s) (law firm, regulator or self-regulatory organization, and/or in-house in a related area involving financial services industry preferred).

• OR ~

• Any equivalent combination of experience, education, and/or training approved by Human Resources.

Education

Juris Doctor (JD): Law

Work Experience

General Experience – 10 to 15 years

Certifications

State Bar (Any State) - American Bar Association

Travel

Less than 25%

Workstyle

Remote

The total compensation for this position includes base salary or wages, and may include components such as additional compensation (cash or equity), discretionary bonuses, or commissions. This position is eligible for a benefits package that may include medical, dental, and vision; life insurance; critical illness insurance and accident insurance; disability benefits; retirement savings; paid time off (including vacation, holidays, and sick leave); and parental leave. Eligibility for benefits and specific offerings may vary based on position and employment status. To view more details of the benefits offered, visit Myrjbenefits.com.

At Raymond James our associates use five guiding behaviors (Develop, Collaborate, Decide, Deliver, Improve) to deliver on the firm's core values of client-first, integrity, independence and a conservative, long-term view.

We expect our associates at all levels to:
• Grow professionally and inspire others to do the same
• Work with and through others to achieve desired outcomes
• Make prompt, pragmatic choices and act with the client in mind
• Take ownership and hold themselves and others accountable for delivering results that matter
• Contribute to the continuous evolution of the firm

At Raymond James – as part of our people-first culture, we honor, value, and respect the uniqueness, experiences, and backgrounds of all of our Associates. When associates bring their best authentic selves, our organization, clients, and communities thrive. The Company is an equal opportunity employer and makes all employment decisions on the basis of merit and business needs.

Originally posted on Himalayas