Counsel – Broker-Dealer

Responsibilities

• Primary responsibility for providing legal advice regarding PNCWM’s broker-dealer, including new product and service offerings
• Interacting directly with PNCWM’s senior business management and compliance and risk management personnel
• Monitoring for and advising PNCWM on forthcoming regulations and regulatory guidance issued by PNCWM’s primary regulators
• Developing policies and practices to ensure regulatory and legal compliance
• Representing PNCWM in interactions with external counsel and counsel for other parties, including fund companies and clearing brokers
• Performing work independently with minimal supervision while exercising sound, independent judgment and discretion

• Typically at least five years of experience in investment adviser and broker-dealer regulatory matters and demonstrated ability to fulfill designated responsibilities
• Under special circumstances, advanced knowledge in a highly specialized legal area may be substituted for fewer overall years of experience
• The candidate must have an understanding of the securities regulatory process and applicable SEC rules and prior experience with a regulator or another dual registrant is desirable
• J.D. or equivalent degree from an accredited law school
• Currently licensed to practice in the courts of one or more states
• Demonstrated good judgment, strong legal analysis, and oral and written communication skills