Assistant General Counsel - Wealth Management Investment Products - Vice President
About The Position
As a Wealth Management Attorney Investment Products – Assistant General Counsel, Vice President in Wealth Management Legal, you provide practical, solutions-oriented legal guidance on investment products, including investment advisory and brokerage products. You partner closely with business stakeholders and collaborate with Compliance, Risk, and Controls to support effective risk management and regulatory compliance. Working with a global Legal Department, you help safeguard the integrity of the firm while supporting clients and the businesses you advise. The role values sound judgment, clear communication, responsiveness, and the ability to build strong working relationships. The position focuses primarily on broker-dealer and investment advisory matters, and supports advisory and brokerage product offerings throughout their lifecycle. The attorney will provide timely, commercially minded counsel, identify and document legal and related risks, and contribute to governance and special initiatives as business needs evolve.
Requirements
- Juris Doctor degree and active license to practice law in at least one United States jurisdiction.
- Minimum 5 years of legal practice experience, including relevant experience in financial services, wealth management, broker-dealer, investment advisory, and/or asset management.
- Demonstrated experience advising on broker-dealer and/or investment advisory matters and investment products.
- Working knowledge of the Investment Advisers Act of 1940, federal and state securities laws, and FINRA rules, including familiarity with Regulation Best Interest.
- Ability to manage multiple issues in a fast-paced environment, prioritize effectively, and exercise sound judgment.
- Ability to understand business needs and provide practical, commercially minded legal advice.
- Ability to build and maintain effective working relationships with clients and colleagues.
- Must be licensed to practice law in the country of employment and successfully complete a conflicts of interest clearance review before commencing employment.
- Must be licensed and in good standing in the state or jurisdiction where the position is based, or comply with that jurisdiction's in-house counsel registration rules.
Nice To Haves
- Experience advising on Investment Company Act of 1940 registered funds and/or registered fund distribution.
Responsibilities
- Advise on investment products distributed by JPMorgan Wealth Management, with a primary focus on broker-dealer and investment advisory matters.
- Support advisory and brokerage product offerings, including product development and enhancements, distribution and platform considerations, marketing and communications, disclosures, agreements, and ongoing governance.
- Interpret and apply requirements under the Investment Advisers Act of 1940, the Investment Company Act of 1940, FINRA rules, and federal and state securities laws.
- Deliver timely, practical legal counsel that reflects business priorities and appropriately balances risk and business needs.
- Collaborate with Wealth Management attorneys and other Legal teams to provide coordinated legal support.
- Partner with Compliance, Risk, and Controls to support risk management, regulatory compliance, and control design and implementation, as appropriate.
- Identify legal and related risks affecting investment products, advisory programs, and brokerage services.
- Assess and document legal and related risks and support risk management processes and governance.
- Build and maintain strong working relationships with business colleagues and control partners as a responsive, solutions-oriented advisor.
- Contribute to special projects and initiatives beyond core responsibilities, as needed.
- Adapt to evolving business needs and priorities in a dynamic environment.
Benefits
- Competitive total rewards package, with base salary determined by role, experience, skill set, and location.
- Eligible roles may receive commission-based pay and/or discretionary incentive compensation in cash and/or forfeitable equity.
- Comprehensive health care coverage.
- On-site health and wellness centers.
- Retirement savings plan.
- Backup childcare.
- Tuition reimbursement.
- Mental health support.
- Financial coaching.
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What This Job Offers
Job Type
Full-time
Career Level
Senior
Education Level
Ph.D. or professional degree
