Legal, RIA Custody/Broker-Dealer Attorney, Vice President, Dallas/New York City

We work at the intersection of finance and law, providing counsel and advice that support activities across the firm. We handle litigation and arbitration, perform research and due diligence, aid in financing and legal filings, deal with contracts and intellectual property rights that show our commitment to clients, shareholders, and regulators.

Requirements

• Advise on the strategy, development, integration and expansion of the RIA Custody business, including legal and regulatory analysis of existing products and new initiatives.
• Assist the client services teams in dealing with our clients’ requests.
• Assist Compliance in producing responses to regulatory inquiries.
• Communicate with various regulatory bodies directly and through industry associations regarding changes in laws and policies that may have an impact on the business.
• Provide education and direction to other departments on the application of rules and regulations.
• Create and negotiate agreements that relate to brokerage and custody services.
• Manage outside counsel.
• Collaborate across control groups to drive execution and ensure consistency in risk management.

Benefits

• Generous Paid Time Off
• 401k Matching
• Retirement Plan
• Tuition Reimbursement