Job Summary
The Regulatory Affairs team within the Raymond James Legal Department represents the firm in regulatory inquiries and enforcement matters involving all lines of business, conducts certain internal investigations, and collaborates with other legal and compliance teams to ensure consistency and best practices in Raymond James’ approach to regulatory matters. Raymond James seeks a talented team-player for its Assistant General Counsel role, in which the successful candidate will manage regulatory and enforcement matters (including SEC, FINRA, and state regulatory inquiries), lead internal investigations, and partner with other members of the team in advising the Firm regarding regulatory affairs. The individual will oversee outside counsel on certain matters and may lead major projects with significant business impact involving cross-functional teams. **
Essential Duties And Responsibilities**
- Represents the firm before government agencies, regulators, and SROs in connection with investigations, inquiries and exams.
- Conducts internal reviews and investigations which may require travel.
- Provides advice, counsel and recommendations regarding regulatory matters.
- Partners with business and control functions including legal, compliance, supervision, risk, and audit to manage the Firm’s responses to regulatory matters and consider actions to enhance policies, procedures, and controls.
- Plans, assigns, monitors and leads the work of others.
- Reviews performance and evaluates results achieved by others.
- Coaches and mentors others.
- Oversees work of support team in connection with assignments.
- Balances competing resource and priority demands.
- Prepares and delivers written and oral presentations to management and senior management on legal issues.
- Maintains proficiency in securities regulatory law.
- Operates standard office equipment and uses required software applications.
- Performs other duties and responsibilities as assigned.
Qualifications:
Knowledge, Skills, And Abilities
Knowledge of
- Advanced concepts, principles and practices of corporate, securities and regulatory law affecting financial institutions including regulations affecting broker-dealers and investment advisors.
- Litigation/regulatory enforcement best practices.
- Advanced principles of banking and finance and securities industry practices and operations.
- Advanced financial markets and products.
Skill in
- Managing a high volume of complex legal matters.
- Developing facts including through interviews, document review and data analysis, and preparing and presenting case theories and strategies.
- Preparing and delivering written and oral presentations to internal and external audiences including senior management on legal and regulatory issues.
- Operating standard office equipment and using required software applications, including legal matter management software and Microsoft Office.
Ability to
- Provide legal advice, counsel and recommendations in regulatory and investigative matters.
- Assess and recommend potential changes to organizational policies and procedures.
- Partner effectively with other functional areas to accomplish objectives.
- Gather information, identify linkages and trends and apply findings to assignments.
- 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.
Educational/Previous Experience Requirements
Education/Previous Experience
- Juris Doctorate with excellent academic credentials and minimum eight (8+) years of progressively responsible experience in relevant practice area(s).
- Experience with a law firm, regulator/SRO, and/or in-house in regulatory enforcement practice involving financial institutions strongly preferred; OR ~
- Any equivalent combination of experience, education, and/or training approved by Human Resources.
Licenses/Certifications
- Member in good standing of at least one State Bar;
- Ability to obtain FL Authorized House Counsel (if not a member of FL Bar) within six months of hire.
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. **
Job :**
Legal **
Primary Location :**
United States **
Organization :**
Legal **
Schedule :**
Full-time **
Shift :**
Day Job **
Travel :**
Yes, 25 % of the Time **
Salary Range: CO, NY, CA, WA (based on Education, Work Experience, and Geographic Location)**
160,000-220,000
