Managing Director Associate General Counsel

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Managing Director, Associate General Counsel

The candidate will serve as the general counsel of dually registered broker-dealer and registered investment adviser. Provide legal advice and guidance to help achieve and advance business objectives, including for multiple registered investment advisers and related businesses. Identify and analyze legal issues, draft key documents, present clear recommendations, and promote compliance with legal obligations. Advise board, senior management, and other business partners on a wide variety of broker-dealer and investment advisory legal matters, support and conduct business negotiations and other commercial matters, and advise on regulatory matters. Provide legal advice related to and supporting conformance with regulatory compliance requirements, including legal support for examinations and other regulatory engagements. Supervise internal team of attorneys and paralegal to provide effective legal support for multiple businesses and manage team’s workload; hire and oversee work of outside counsel. Overseeing the drafting and filing of ADVs and other disclosure and regulatory documents filed with federal and state securities regulators. Providing legal guidance and support for compliance with Regulation Best Interest and related obligations. Drafting and negotiating agreements in connection with various brokerage and investment advisory products and services. Providing advice related to compensation practices and identifying, managing, and disclosing conflicts of interest. Advising business partners and the broker-dealer’s board on new laws and regulations and other regulatory developments. Juris Doctorate Law is required. J.D. degree from an ABA accredited law school and member in good standing of state bar is required. Should have 8+ years of experience. Should preferably have 10+ years of experience. Experience leading and/or supervising other attorneys and legal professionals are needed. Legal experience supporting retirement-related insurance products, including fixed and variable annuities, ERISA and Internal Revenue Code considerations, and affiliated banking and other diversified financial services institutions. Experience providing legal support for institutional pension plan distribution, IRAs, retail brokerage accounts, investment advisory, financial planning, and other investment solutions are needed.

Additional Information

Job ID.:R220600651.

Company info

TIAA-CREF Individual & Institutional Services, LLC
1101 Pennsylvania Ave. Suite 800
Washington
District of Columbia
United States 20004
Phone : 202 637-0090
Website : https://www.tiaa.org