Sr. Assistant GC, Fixed Income

Raymond James•Saint Petersburg, FL

6d•Hybrid

About The Position

The Senior Assistant General Counsel will provide legal support to the Fixed Income Capital Markets (FICM) division of Raymond James, advising fixed income sales and trading, debt research, underwriting, and investment banking on complex transactional, regulatory, and advisory matters. This role is transaction-focused and requires hands-on experience with fixed income products and strong knowledge of the rules and regulations applicable to fixed income products. The Senior Assistant General Counsel will serve as a trusted legal partner to business leadership, exercising independent judgment to enable business activity while managing legal and regulatory risk.

Requirements

Juris Doctor (J.D.) with strong academic credentials; active bar membership in good standing.
Eight (8+) years of relevant legal experience advising fixed income capital markets or institutional trading businesses.
Strong understanding of the legal and regulatory framework applicable to fixed income capital markets (SEC, FINRA, MSRB).
Experience at a major law firm, financial institution, regulator, or self-regulatory organization; in-house experience strongly preferred.
Some previous litigation experience preferred.

Nice To Haves

Ability to operate independently and exercise sound judgment in complex, fast-paced transactional environments.
Strong drafting and negotiation skills, with attention to detail and commercial outcomes.
Clear, confident communicator with the ability to engage effectively with senior business partners.
Practical, solutions-oriented approach to managing legal and regulatory risk.
Collaborative mindset and comfort working across functions.

Responsibilities

Serve as legal coverage for the Fixed Income Capital Markets business, with meaningful ownership of legal matters supporting institutional trading and capital markets activity.
Draft, review, negotiate, and advise on a broad range of agreements, including: Securities offering and underwriting documentation, Distribution Agreements (e.g., MSDAs, AAUs, placement agreements), NDAs, engagement letters, and other commercial agreements.
Advise on legal and regulatory issues affecting fixed income sales and trading (both retail and institutional), including documentation standards, collateral arrangements, and applicable regulatory requirements.
Assist with and coordinate responses to litigation-related requests or regulatory inquiries (e.g., third-party subpoenas or discovery requests).
Partner closely with senior sales, trading, research, and investment banking professionals to deliver practical, timely, and commercially sound legal advice.
Collaborate with Compliance, Risk, and other control functions to address regulatory matters and support effective risk management.
Manage external counsel in connection with transactions, regulatory matters, and specialized projects.
Lead or contribute to initiatives that improve processes, consistency, and risk oversight across the FICM business.