Senior Counsel-Securities
About The Position
The Huntington Legal Department has an exceptional opportunity for a talented lawyer to support its growing Huntington Capital Markets segment. This role will support the Huntington Capital Markets and Capstone Partners business segments and their registered broker-dealers, Huntington Securities, Inc. (HSI) and Capstone Capital Markets LLC (CCM). HSI provides public finance, corporate investment banking and brokerage services to institutional customers and clients, and also acts as a municipal advisor. CCM provides mergers and acquisitions advice and capital-raising services to institutional clients.
Requirements
- Bachelor’s Degree and Juris Doctorate.
- Licensed attorney in any state with the ability to be admitted into state bar (IL preferred) where job will be located.
- 3 + years of practicing law in an in-house legal department of a financial institution, a regulatory agency, or law firm focused on financial products and services
Nice To Haves
- Securities regulatory experience, particularly relating to broker-dealers, preferred.
- Excellent oral and written communication skills with the ability to interact effectively and professionally at all levels.
- Experience in identifying, evaluating, and escalating legal and business issues.
- Ability to understand business goals and needs, and to partner with key stakeholders to create business solutions.
- Ability to manage numerous legal matters with competing deadlines while producing high quality work product.
- Sound business and legal judgement.
- Highest degree of professionalism with clients, colleagues and customers
Responsibilities
- Provide legal support to the institutional broker-dealer businesses of Huntington Capital Markets and Capstone Partners in connection with implementation of their business strategies.
- Advise on applicable laws, rules and regulations, including the Securities Exchange Act of 1934 and the regulations thereunder, rules of the Financial Industry Regulatory Authority and the Municipal Securities Rulemaking Board, and state securities laws and regulations.
- Interact closely with Compliance, Risk, Technology and Operations departments to mitigate risk and ensure compliance with applicable laws and regulations
- Assist in development or updates of policies and procedures in connection with new products or services or regulatory developments
- Assist in negotiations of investment banking engagement letters
- Draft, review and revise customer agreements and disclosures
- Document and negotiate agreements with vendors and commercial partners
- Provide legal support for regulatory examinations
- Build and maintain effective working relationships with internal and external stakeholder groups.
Benefits
- health insurance coverage
- wellness program
- life and disability insurance
- retirement savings plan
- paid leave programs
- paid holidays
- paid time off (PTO)
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What This Job Offers
Job Type
Full-time
Career Level
Mid Level
Education Level
Ph.D. or professional degree
