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Wealth Management Branch Advisory Attorney Vice President Or Executive Director
Experience
5-7 yrs required
Location
Purchase, NY, United States
Posted on
Nov 19, 2022
Profile
Wealth Management Branch Advisory Attorney, Vice President or Executive Director
Duties: Responsible for conducting legal research and drafting memos, drafting letters to clients on behalf of field management, and negotiating and drafting a variety of client-facing agreements, such as Confidentiality Agreements, Hold Harmless Agreements, and Custody Agreements. Responsibilities also will include advising on the investigation of senior financial exploitation and diminished capacity issues, reviewing and advising on instances of potential employee misconduct, advising broker/dealer field and Home Office personnel on relevant law and regulatory policy as well as on unique transactions and strategic initiatives, assisting Compliance and Operations in the drafting and development of Firm policies and procedures, negotiating and drafting modifications to Firm documents, and handling special projects as needed.
Company info
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