Associate General Counsel

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Associate General Counsel
The candidate will be reporting to the General Counsel, responsibilities will include advising on contractual, bank regulatory, general corporate, and corporate governance matters for a privately-held wealth management firm that includes a bank holding company, state and national banks and trust companies, an SEC registered investment adviser, and an SEC registered broker-dealer. Will execute their responsibilities as a member of the General Counsel’s office, which consists of six-lawyers and four paralegals. Draft, negotiate and review various types of legal agreements and regulatory documents, including commercial, technology, and outsourcing arrangements. Advise on state and federal banking laws and regulations, and other applicable securities laws; keep abreast of new and proposed legislation and industry trends; anticipate related impact to the organization and manage regulatory change initiatives. Develop and enhance policies and procedures to ensure compliance with banking and other applicable laws working closely with legal and compliance colleagues and partnering effectively with business and operational teams. Provide day to day advice and counsel to colleagues in other functional areas on matters relating to clients, marketing, service offerings and product development. Act as legal advisor to in-house working groups and committees. Member in good standing of the New York State bar. 5+ years of experience working in a law firm or in-house practice in relevant areas; experience with private wealth management or trust business would be a plus. Ability to exercise high quality legal analysis and practical judgment, to spot issues and develop appropriate and timely solutions. Excellent written and oral communication skills. Ability to handle multiple tasks both independently and collaboratively and prioritize effectively.

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