Lead Counsel: Wim - Retail Brokerage

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Lead Counsel: WIM - Retail Brokerage
The candidate will provide legal counsel around implementing Federal and state regulatory standards of conduct regimes, including the adoption of the Department of Labor’s fiduciary rule, the SEC’s Regulation Best Interest, and corresponding state regulations. This leadership role will involve working closely with the Firm's business leaders and control partners, and with product and governance committees to ensure that Firms comprehensively and thoughtfully implement these standards, with appropriate policies and training, and a sustainable supervisory model. This role will also include providing legal advice to retail brokerage businesses in the areas of conflicts of interest management, standards for product distribution to retail customers, securities-backed lending, and other retail brokerage subject areas. The position will report to the Assistant General Counsel for Retail Brokerage and is part of the Legal Department’s WIM Division. Lead complex initiatives with broad impact and act as a key participant in large-scale planning. Provide guidance to senior management on complex legal and regulatory matters with a significant impact on business initiatives, strategy, and performance. Assess the legal risk associated with all risk types and develop strategies for reducing legal exposure. Lead analysis of and response to legal, regulatory, reputational, compliance, and policy matters within the area of expertise. Identify and analyze complex legal issues, develop conclusions, and make recommendations for issue resolution. Serve as the primary legal contact for assigned clients. Collaborate within the department and across business and staff functions to address legal and risk issues in a manner consistent with the best interests of Firms. Lead initiatives of varying scope and complexity.

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