Apply Now

Associate Counsel, Asset Management and Corporate Affairs

Janney Montgomery Scott LLC, 1717 Arch Street, Philadelphia, Pennsylvania, United States of America Req #286
Tuesday, October 29, 2019
Janney is an award-winning full-service financial services firm committed to understanding our clients' needs and providing advice beyond investments.  We are equally committed to building a diverse workforce and inclusive culture where employees can use their talents to thrive and grow professionally with the firm.

SUMMARY

The Associate Counsel, Asset Management and Corporate Affairs will report to Janney’s Deputy General Counsel, Asset Management & Corporate Affairs and be primarily responsible for providing legal support in the areas of wealth management, investment advisory compliance, and general corporate matters.   This individual will work closely with senior business leaders, marketing, operations, sales support, supervision, regulators, and internal and external auditors.  Additionally, this individual will assist with the firm’s corporate governance matters, the legal review of contracts, and serve as a subject matter expert for legal advice on a wide variety of topics applicable to the firm’s business. 

 

MAJOR RESPONSIBLITIES

  • Provide legal advice and support with respect to annual and other compliance reviews, establishing and implementing investment advisory compliance and surveillance processes

  • Provide advice and assist the Investment Advisory Chief Compliance Officer (IACCO) with enhancing and maintaining investment advisory compliance policies and procedures

  • Research new rules and regulations

  • Develop and maintain an ongoing compliance education program and provide training to firm personnel

  • Draft disclosures related to the firm’s business activities, including disclosures required by Form ADV

  • Assist with SEC examinations, as well as other examinations by other regulators

  • Support the Deputy General Counsel in handling corporate governance matters

  • Provide advice with respect to regulatory issues and filings, including under state and federal law and other potential federal regulation

  • Handle other general corporate work, including contract review and negotiation

  • Participate in key industry trade associations (e.g. SIFMA), committees and roundtables

 

QUALIFICATIONS

  • J.D. Degree from an accredited law school required

  • 5 years Investment Advisory Legal/Compliance experience

  • 5 years Corporate Attorney experience preferred

  • Previous experience with a law firm and/or corporate legal department is highly preferred

  • Prior experience working for mid to large size financial institution is preferred

  • Strong service orientation and ability to establish and maintain effective working relationships with peers, business units, leaders, and outside business partners

  • Excellent oral and written communication skills, including the ability to communicate detailed and complex information to others at all levels of the organization

Janney is dedicated to promoting and supporting diversity within our workplace.  We provide an environment that promotes respect, integrity, teamwork, achievement and acceptance regardless of age, disability, education, gender, gender expression, gender identity, job level, marital status, military status, national origin, parental status, pregnancy, race, religion, sexual orientation, socioeconomic status, or other protected factors. Janney is committed to equal employment opportunities and providing reasonable accommodations to applicants with physical and/or mental disabilities.

Other details

  • Pay Type Salary
  • Janney Montgomery Scott LLC, 1717 Arch Street, Philadelphia, Pennsylvania, United States of America