Missouri Licensed Associate General Counsel

Job Summary

A company is looking for an Associate General Counsel III - Broker Dealer.

Key Responsibilities

• Provide business-focused and risk-informed legal advice on broker-dealer functions
• Support projects by identifying regulatory and legal risks and offering actionable recommendations
• Serve as a subject matter expert on broker-dealer regulations and manage a complex workload

Required Qualifications

• Juris Doctorate and licensed to practice law in Missouri or another state
• Deep familiarity with broker-dealer conduct rules and Regulation Best Interest
• Ten years of progressive responsibility as an attorney in relevant sectors
• Experience in retail broker-dealer and wealth management
• Technological aptitude and ability to adapt to new technologies