Assistant General Counsel

Stephens Default•Little Rock, AR

About The Position

Founded in 1933, Stephens offers investment banking and advisory services, research, sales and trading, asset management, public finance, insurance, wealth management, private capital, and family office services. Our business is rooted in a deep client focus, sector knowledge, and a commitment to research. Our clients include corporations, state and local governments, institutional and individual investors, with many relationships lasting for generations. We’re headquartered in Little Rock, Arkansas, with strategic locations in the US and Europe, working wherever our clients need us. Stephens’ mission is to become a trusted advisor to our clients in all aspects of their business and personal finances. Focusing on relationships over transactions, we assist our clients as they interact with the financial markets, consider capital formation and preservation, and analyze strategic alternatives. This position in the legal department provides an opportunity for a self-motivated, hands-on individual to broadly expand the candidate’s knowledge and work in a collegial and supportive environment. The position primarily supports the firm’s investment advisory business, but duties may expand based on experience and interest. Working with other Firm attorneys, this position will help manage all legal matters involving assigned areas, including collaborating with senior management and outside counsel, and is responsible for responding to requests for legal advice from Firm personnel. Prior experience with financial institutions, securities laws, or complex business matters is helpful but not required.

Requirements

Juris Doctorate (J.D.) degree from an accredited American Bar Association Law School and in good standing with the Bar of any U.S. State.
3+ years of related experience and/or training.
Equivalent combination of education and experience.
Excellent verbal, written and organizational skills and strong attention to detail.
Self-motivated with the ability to work independently in a fast-paced environment.
Ability to prioritize and handle multiple tasks simultaneously.
Analytical, critical thinking and problem solving skills with the ability to determine the appropriate action.
Process management skills.
Establish and maintain effective working relationships at all levels of the organization.
Proficient in Microsoft Office Suite or similar software, with the ability to learn and utilize industry specific software as required.
Ability to maintain confidentiality.
Demonstrated reliability in attendance and work performance.
Ability to travel as required.

Nice To Haves

Prior experience with financial institutions, securities laws, or complex business matters is helpful but not required.

Responsibilities

Monitor applicable laws and regulations affecting assigned areas, including the Investment Advisers Act of 1940 and related SEC rules, FINRA rules, and ERISA law and regulations, and advise senior management as necessary.
Respond to requests for legal advice from Firm personnel, including drafting memoranda where necessary.
Develop legal strategy for addressing emerging risks and implementing business developments.
Recommend and assist in revising Firm policies and procedures based on legal opinion.
Interact with other Stephens personnel on legal matters.
Investigate and draft responses to regulatory inquiries.
Assist with arbitration or litigation, including managing outside counsel.
Respond to document requests and subpoenas.
Provide legal review and approval for communications to the public.
Assist with the design and implementation of longer-term projects and analyses.
Perform any other related duties as required or assigned.