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Go Associate General Counsel, Regulatory Affairs - Req. 1903064 Description
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 an experienced attorney for its Associate 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 Raymond James before government agencies, regulators, and SROs in connection with investigations, inquiries and exams.
Conducts internal reviews and investigations.
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 to align with regulatory requirements and mitigate risk.
Plans, assigns, monitors, reviews, evaluates the work of support team in connection with assignments.
Coaches and mentors others.
Balances competing resource and priority demands.
Prepares and delivers written and oral presentations to senior management on legal issues.
Maintains proficiency in securities regulatory law.
Performs other duties and responsibilities as assigned.
Knowledge, Skills, and Abilities:
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 investment concepts, practices and procedures used in the financial securities industry.
Principles of banking and finance and securities industry operations.
Financial markets and products.
Managing a high volume of complex corporate legal matters.
Developing facts through processes including 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 case management software and Microsoft office.
Manage, coach and mentor others.
Assess and recommend potential changes to organizational policies and procedures.
Provide legal advice, counsel and recommendations to senior management on significant issues.
Partner 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.
Work independently as well as collaboratively within a team environment.
Educational/Previous Experience Requirements:
Juris Doctorate (J.D.) with excellent academic credentials and a minimum of ten (10) years of progressive corporate litigation and/or financial securities regulatory legal experience.
Direct law firm, in-house or regulatory experience with SEC and/or FINRA Enforcement practice is preferred.
Any equivalent combination of experience, education, and/or training approved by Human Resources.
Current membership in good standing in at least one state bar; ability to satisfy requirements to register as Authorized House Counsel in Florida.
Raymond James Guiding Behaviors
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
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El Paso, Texas
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