Responds to regulatory inquiries and conducts internal investigations primarily for the Global Wealth and Investment Management businesses.
Individuals in this position typically have five plus years of experience since admission to the Bar.
- Respond to inquiries from Federal and State regulators, including conducting factual investigation, analysis and legal research, drafting responses, preparing and representing employees at testimony before regulators, negotiating regulatory matters on behalf of the firm, managing outside counsel, and interfacing with the business.
- Conduct internal investigations, including performing factual investigation, analysis and legal research, interviewing employees, recommending employment decisions, identifying risks to the firm and swiftly proposing and implementing remedial measures, managing outside counsel, and interfacing with the business.
- Analyze and advise the business on pertinent laws, regulations and firm’s policies, procedures and systems in order to minimize risk to the firm and to drive profitable and sustainable business growth.
- Provide advice and collaborate with support partners such as Compliance, Risk, Legal, Audit, Media Relations, Registration, and Human Resources.
Provides general legal counsel on litigation activities, excluding GBAM, as well as specific advice on products, services and certain legal actions. Reviews legal contracts and documents. Directly, or through staff, conducts legal research. May represent the bank in legal actions. Individuals in this position must be a member of the Bar.