Assistant General Counsel, VP - Equity Finance

Wells Fargo Bank•New York, NY

13d•Hybrid

About The Position

Wells Fargo is seeking an Equity Finance attorney to join its legal team, providing expert legal support for equity finance (prime brokerage, stock loan, option market making, and delta one swaps). In this role, you will be part of the Equities legal team, covering a growing business. In this role, you will: Serve as a legal advisor to senior leaders in the Equity Finance business Advise on the negotiation and documentation of prime brokerage agreements and equity swap master confirmation agreements with institutional clients such as hedge funds, asset managers, and pensions Advise on U.S. legal and regulatory frameworks, including the Securities Exchange Act, Commodity Exchange Act, and Federal Reserve Board Regulations T, U, and X Handle matters that have a significant impact on operations, strategies, or profitability Participate in highly complex legal projects Apply Enterprise and Legal Department policies and procedures, including to the management of outside counsel Work with other leaders and subject matter experts in the Legal Department to provide comprehensive solutions to complex problems, including process improvement and risk control development Determine appropriate strategy and actions to meet moderate to high-risk deliverables Interpret and develop policies and procedures for functions with moderate complexity within scope of responsibility Develop relationships with and provide guidance to more experienced leadership, including executive officers, on issues that may present legal, regulatory, compliance, or reputational risk to the Company Collaborate with and influence all levels of professionals, including more experienced managers Engage and influence stakeholders, providing innovative, timely, and reliable legal advice

Requirements

5+ years of Law experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education.
Active State Bar membership or the equivalent in a country outside the United States
Juris Doctor (JD) from an accredited law school, with strong academic credentials

Nice To Haves

Experience as a practicing attorney advising on equity finance and prime brokerage
Significant knowledge and experience covering sales and trading activities, derivatives, and financing transactions in a major law firm or in-house legal department
Experience with relevant U.S. laws, rules, and regulations, including SEC, FINRA, OCC, and CFTC
Experience negotiating with institutional clients
Experience providing legal advice and support in connection with risk and regulatory issues within large, matrixed organizations
Demonstrated expertise in U.S. securities and derivatives regulations
Understanding of complex business activities and operations
Strong process and project management skills
Excellent written and verbal communication skills
Ability to adapt quickly to a changing environment while building relationships and negotiating for positive business outcomes while effectively managing legal risk
Ability to work under pressure and meet tight deadlines

Responsibilities

Serve as a legal advisor to senior leaders in the Equity Finance business
Advise on the negotiation and documentation of prime brokerage agreements and equity swap master confirmation agreements with institutional clients such as hedge funds, asset managers, and pensions
Advise on U.S. legal and regulatory frameworks, including the Securities Exchange Act, Commodity Exchange Act, and Federal Reserve Board Regulations T, U, and X
Handle matters that have a significant impact on operations, strategies, or profitability
Participate in highly complex legal projects
Apply Enterprise and Legal Department policies and procedures, including to the management of outside counsel
Work with other leaders and subject matter experts in the Legal Department to provide comprehensive solutions to complex problems, including process improvement and risk control development
Determine appropriate strategy and actions to meet moderate to high-risk deliverables
Interpret and develop policies and procedures for functions with moderate complexity within scope of responsibility
Develop relationships with and provide guidance to more experienced leadership, including executive officers, on issues that may present legal, regulatory, compliance, or reputational risk to the Company
Collaborate with and influence all levels of professionals, including more experienced managers
Engage and influence stakeholders, providing innovative, timely, and reliable legal advice