Counsel

Counsel - Law & Legal Services Department

Summary:

Provide legal support to a multi-state dually registered broker/dealer and investment advisor and its affiliates. This role will focus on complex legal and regulatory matters and day-to-day functions in the financial services industry in partnership with a collaborative legal team.

Essential Duties & Responsibilities:

• Provide legal counsel and support to all divisions of the firm.
• Respond to internal and field inquiries.
• Draft, review, and negotiate agreements and firm documents.
• Analyze and manage various legal matters including those involving clients, regulators, and third parties.
• Provide legal advice and guidance on third party legal actions, responses to subpoenas, and court orders.
• Conduct legal research and analysis.
• Analyze, respond and report on regulatory inquiries and internal investigations, prepare filings, and support internal investigations.
• Partner with and manage outside counsel on various legal matters.

Qualifications:

• Strong research and analytic skills with high attention to detail and accuracy.
• Excellent oral, written and interpersonal communication skills.
• Strong ability to organize, multi-task and prioritize.
• Able to work independently, proactively and creatively on complex assignments without direct supervision.
• Ability to work collaboratively across all levels of the organization and the flexibility to adapt to and lead through change.

 Education and/or Work Experience:

• Minimum Education Required: Juris Doctor degree
• Minimum Work Experience Required: 3 years of experience as an attorney in law firms, governmental agencies and/or in-house legal departments.

 Licenses/Registration: 

• Minimum Required: Member in good standing of the Missouri Bar
• Obtaining securities industry registration:  FINRA SIE and FINRA Series 7, preferred   

Work Environment:

This position requires the ability to work in a stationary position for several hours at a time and the ability to lift up to 25 pounds, occasionally. Some filing is required. The work environment is an air-conditioned, smoke-free, office environment. This position routinely uses standard office equipment such as computers, phones, photocopiers and filing cabinets. 

About Benjamin F. Edwards  

If you are interested in joining a different kind of firm that truly puts the interests of its advisors and clients first, you have come to the right place.  Founded in 2008 and serving more than 300 advisors with over $45 billion in assets, Edwards has the scale our advisors expect and the ability to deliver the personal touch and concierge-level service our clients deserve. 

We are a firm that values our legacy of family and colleagues and cherishes an environment where all succeed through collaborative support. To us, legacy is not only about the past - it is building an experience that prepares all of us, and our clients, for the future.

We invest in our team and recognize and appreciate the value of hard work. The rewards of the job are founded in the difference you will make in the lives of our clients and extend throughout a culture that inspires you to learn, grow, and be your best. Having fun is part of the firm’s mission statement.

We offer a comprehensive benefits package which includes health, dental, vision, 401(k), life insurance, disability, and paid time off.   

Our client-first mission is grounded in the Golden Rule; when you join Benjamin F. Edwards you are well cared for, and we welcome all applicants with the skills, experience, and enthusiasm to do a great job regardless of race, color, religion, gender, sexual orientation, national origin, genetics, disability, age, or veteran status.  

Benjamin F. Edwards is an Equal Opportunity Employer.

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