In-house counsel, Law​/Legal

Brown Gibbons Lang & Company (BGL) is a leading independent investment bank and financial advisory firm focused on the global middle market. We advise private and public corporations and debt and equity sponsors on mergers and acquisitions, capital markets, financial restructurings, valuations and opinions, real estate, and other strategic matters. BGL has investment banking offices in Boston, Chicago, Cleveland, Los Angeles, and New York, and real estate offices in Chicago and Cleveland.

The firm is also a founding member of REACH Cross-Border Mergers & Acquisitions, enabling BGL to service clients in 30 countries around the world. On every engagement, our clients receive senior-level attention from experienced bankers who bring a wealth of industry knowledge, transaction expertise, and deep relationships with key players in a broad range of industries.

Our success and growth is due to the expertise, passion, and commitment of our team. We value our employees and invest in their development, recognizing that their talent is the foundation of the exceptional service we deliver to BGL clients.

Brown Gibbons Lang (BGL), a leading independent investment bank focused on the global middle market, is seeking an In-House Counsel to assist our rapidly growing organization. The ideal candidate will have a strong understanding of relevant requirements of FINRA; as well as laws, regulations, and business operations of a financial advisory or other professional services firm. This position will have significant interaction with senior management, senior bankers, clients, potential clients and outside counsel and vendors

This position ideally would be in Cleveland or Chicago, but remote is also an option. Travel to all our locations may be required  be open to candidates seeking part-time or flexible schedules.

Role & Responsibilities:

The primary duties of the in-house legal counsel are as follows:

Engagement letters

• Responsible for maintaining, reviewing and updating BGL's engagement letter templates for sell-side, buy-side, capital raising, restructuring, and valuation assignments.
• Assist with preparing and negotiating engagement letters, engagement agreements and other ancillary documents with potential clients and their legal counsel.
• Prepare training materials and lead training sessions for senior bankers on common issues in engagement and company policy on escalation of certain changes.

FINRA and other compliance matters

• Assist the Chief Compliance Officer with FINRA and broker-dealer related compliance questions and issues as they arise
• Review and update FINRA written supervisory policies and procedures and coordinate implementation of appropriate Know Your Client and conflict check procedures
• Assist in draft responses to FINRA requests and assist in FINRA cycle exams
• Assist with FINRA compliance training for all registered representative and firm personnel

Corporate legal matters

• Provide legal advice and act as trusted advisor to most senior management of firm on risk management issues across multiple legal areas in consultation with outside counsel as needed.

Partnership and other corporate/entity documentation

• Responsible for organizing and keeping official corporate records, including all partnership and corporation agreements and subscription agreements for new partners and investment entities.
• Assistance with drafting other corporate agreements such as consulting agreements and fee sharing agreements

Employment matters

• Assist and consult with Human Resources in the preparation of offer letters and secondment letters
• Assist with the preparation of separation agreements
• Assist with monitoring and maintaining compliance with employment laws and updating employment policies and mandatory training policies accordingly

Vendor agreements and litigation

• Assist with review and negotiation of select vendor contracts
• Manage outside counsel handling litigation involving the company
• Manage third party subpoena responses in coordination with outside counsel

Qualifications:

Interested candidates should meet the following requirements:

• Must have a JD from a top-tier program and have a strong academic record
• Must be licensed with at…