Wealth Management Financial Products and Regulatory Attorney - Executive Director, Assistant General Counsel
By joining the US Wealth Management Legal Department and supporting its associated functions, you will be a valued contributor, driving product development and providing valuable regulatory insight.
As a Wealth Management Financial Products and Regulatory Attorney - Executive Director, Assistant General Counsel within our Wealth Management Legal team, you will provide critical analysis and discussion of wealth management-specific regulatory issues, ongoing support of investment products distribution issues, and the creation, review, and general support of relevant transactional and regulatory documents. You will provide direct advice and support to internal Wealth Management and Products Solutions clients, including Advisors, Sales Management, Operations, Risk, and Controls, as needed. You will work closely with colleagues on the US Wealth Management and Product Legal teams and collaborate with Compliance, Risk and Controls functions to ensure comprehensive and effective support.
The Legal Department at JPMorgan Chase & Co. manages legal and other risks, advises on products and services, interprets laws and regulations that impact the firm, and advises the firm on other matters. Our global team is made up of 2,000 lawyers and legal professionals with a reputation as thought leaders who deliver best-in-class services. As trusted advisors, we help the firm’s clients while also safeguarding the integrity of the firm. We are committed to a culture of inclusivity and belonging, where people can grow and succeed throughout their careers while working for a first-in-class financial institution doing cutting-edge work. If these values resonate with you, we would like to hear from you.
Job responsibilities
- Serve as primary legal contact for guidance related to certain financial products, including investment advisory programs and brokerage products and their distribution.
- Interpret existing, contemplated, and proposed laws, rules, and regulations, and advise on changes thereto.
- Provide ongoing strategic advice and guidance on regulations related to wealth management to business partners, other legal teams and functional partners.
- Working on special projects outside of normal responsibilities and ability to adapt as needed.
Required qualifications, capabilities, and skills
- At least 10 years of legal practicing experience at a law firm, financial institution, government agency, regulator and/or self-regulatory organization with demonstrated financial services experience.
- Experience in broker-dealer matters, including knowledge of federal and state securities laws and regulations, including FINRA rules.
- Proficient in handling a large number of issues and competing priorities in a fast paced and rapidly evolving environment.
- Ability to understand business needs and partner with key stakeholders to create solutions.
- Excellent communication skills (verbal and written) with the ability to interact effectively and professionally at all levels.
- All candidates for roles in the Legal department must successfully complete a conflicts of interest clearance review prior to commencement of employment.
- Attorney must be licensed to practice law and a member in good standing in in the state/jurisdiction in which the position is based or otherwise in compliance with the in-house counsel registration rules of that state/jurisdiction.
- All candidates for roles in the Legal department must be licensed to practice law in the country of employment and successfully complete a conflicts of interest clearance review prior to commencement of employment.
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