General Counsel - Broker Dealer

Compensation

Leeds Professional Resources provided pay range. This range is provided by Leeds Professional Resources. Your actual pay will be based on your skills and experience — talk with your recruiter to learn more.

Base pay range

$/yr - $/yr

Additional compensation types

Annual Bonus

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Overview

We are seeking a General Counsel to join our client's team. A General Counsel (GC) for a broker-dealer provides legal and regulatory advice, ensuring the company complies with all applicable laws and regulations, including those from the SEC and FINRA. The role involves advising on sales and trading, drafting and negotiating contracts, overseeing litigation, and developing internal policies and procedures to mitigate legal risks.

The GC acts as a strategic partner to senior management and business units, helping to balance legal risk with business objectives in a fast-paced environment.

Key responsibilities

• Legal guidance:
Advise business units on complex issues, including those related to equity research, sales, trading, and market structure.

• Contract management:
Draft, review, and negotiate a wide range of agreements, such as vendor contracts, service agreements, and employment agreements.

• Litigation and dispute resolution:
Manage disputes, oversee claims, and coordinate with external counsel.

• Policy and procedure development:
Create and implement internal policies and procedures to comply with new regulatory requirements and to manage legal risk.

• Regulatory examinations:
Serve as a key point of contact during inquiries and investigations from regulators like the SEC and FINRA.

• Strategic support:
Collaborate with senior leadership to provide strategic legal advice and support for new business initiatives and technology development.

Required skills and experience

• Experience working with regulatory bodies such as the SEC and FINRA.

• Strong contract drafting, review, and negotiation skills.

• Experience in a fast-paced, high-pressure environment.

• Excellent judgment and strategic thinking abilities.

• Ability to collaborate effectively with business, compliance, and other internal teams.

Seniority level

• Director

Employment type

• Full-time

Job function

• Legal

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Inferred from the description for this job

Medical insurance

Vision insurance

401(k)

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