Assistant General Counsel Jobs

About The Position

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.