Corporate Counsel, Broker-Dealer & Investment Adviser

RBC•Minneapolis, MN

7d•$125,000 - $175,000

About The Position

RBC’s Law Group seeks in-house counsel to provide legal support to a dually registered broker-dealer and registered investment adviser. The role drafts and reviews legal documents, conducts research, and advises on complex legal, regulatory, and operational matters affecting the business. The Corporate Counsel works with business units to analyze legal risks and support business strategy while developing expertise in financial services law as part of a collaborative legal team.

Requirements

Juris Doctor (J.D.) and authorization to practice law in Minnesota.
At least 3 years of experience as a lawyer at a law firm or in-house legal department.
Strong written and oral communication and presentation skills, including the ability to translate complex legal and regulatory requirements into clear written materials.
Strong legal research and analysis skills, excellent problem-solving abilities, and the ability to manage multiple projects concurrently and meet deadlines.
Ability to work effectively with cross-functional teams and exercise sound business judgment when advising on legal and regulatory matters.

Nice To Haves

Relevant experience providing counsel on securities, investment advisory, and/or broker-dealer matters.
Working knowledge of SEC rules, FINRA regulations, state securities laws, and other regulatory frameworks governing broker-dealers and investment advisers.
Experience advising on multiple product lines, including mutual funds, insurance and annuities, alternative investments, retirement products, or securities-based lending.
Experience in a large financial services corporation or a similarly complex regulatory environment.

Responsibilities

Draft, review, and advise on contracts, disclosures, and legal documents related to broker-dealer and registered investment adviser products and services.
Conduct legal research on laws, rules, regulations, and industry guidance affecting assigned areas of responsibility.
Prepare legal opinions and memoranda on laws, rules, and regulations applicable to the business, including SEC, FINRA, and state securities laws.
Provide counsel and assistance on legal matters pertaining to broker-dealer and investment adviser operations.
Identify regulatory and legal gaps and recommend policy development and operational improvements.
Assist with escalated risk issues and provide guidance on legal implications and mitigation strategies.
Manage billing and administrative tasks associated with legal matters, including matter management and coordination of vendor billing with outside counsel.
Support senior attorneys on assigned legal matters.
Comply with company policies and procedures and legal and regulatory requirements.