Assistant General Counsel - High Performing Investment Bank
Job Title: Assistant General Counsel
Location: Washington DC, hybrid or remote flexibility
Department: Legal & Compliance
Employment Type: Full-Time
About the Role
A leading global investment bank is seeking a highly motivated and experienced Assistant General Counsel to join its Legal & Compliance team. This role offers a unique opportunity to work in a fast-paced, collaborative environment supporting a wide range of business units, including capital markets, wealth management, and institutional services.
Key Responsibilities
- Provide legal counsel on matters related to corporate securities law, broker-dealer regulation, and FINRA compliance.
- Advise internal stakeholders on regulatory obligations under the Exchange Act, Securities Act, and FINRA rules.
- Support the firm's compliance with Series 7-related activities, including supervision of registered representatives and product offerings.
- Draft, review, and negotiate legal documents including client agreements, disclosures, and regulatory filings.
- Collaborate with compliance, risk, and business teams to ensure alignment with legal and regulatory standards.
- Monitor and interpret changes in relevant laws and regulations, and assist in implementing necessary policy updates.
Qualifications
- J.D. from an accredited law school and admission to practice in at least one U.S. jurisdiction.
- Minimum of 4 years of legal experience in corporate securities law, broker-dealer regulation, or related areas.
- Prior experience at a law firm, regulatory agency (e.g., SEC or FINRA), or financial institution strongly preferred.
- Strong understanding of FINRA rules, SEC regulations, and Series 7-related compliance.
- Excellent communication, analytical, and problem-solving skills.
- Ability to manage multiple priorities and work effectively in a dynamic environment.
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