Assistant General Counsel jobs in United States
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Stephens · 1 day ago

Assistant General Counsel

positionLittle Rock, AR
timeFull-time
remoteOnsite
seniorityMid Level
date3+ years exp

Stephens is an investment banking and advisory services firm founded in 1933. The Assistant General Counsel will support the firm’s investment advisory business, manage legal matters, and provide legal advice to firm personnel while monitoring applicable laws and regulations.

BankingFinanceFinancial Services

Responsibilities

Monitor applicable laws and regulations affecting assigned areas, including the Investment Advisers Act of 1940 and related SEC rules, FINRA rules, and ERISA law and regulations, and advise senior management as necessary
Respond to requests for legal advice from Firm personnel, including drafting memoranda where necessary
Develop legal strategy for addressing emerging risks and implementing business developments
Recommend and assist in revising Firm policies and procedures based on legal opinion
Interact with other Stephens personnel on legal matters
Investigate and draft responses to regulatory inquiries
Assist with arbitration or litigation, including managing outside counsel
Respond to document requests and subpoenas
Provide legal review and approval for communications to the public
Assist with the design and implementation of longer-term projects and analyses
Perform any other related duties as required or assigned

Qualification

Juris Doctorate (J.D.)Investment Advisers ActSecurities lawsRegulatory complianceLegal strategy developmentAnalytical skillsProcess managementMicrosoft Office SuiteVerbal communicationWritten communicationOrganizational skillsAttention to detailProblem solving

Required

Juris Doctorate (J.D.) degree from an accredited American Bar Association Law School and in good standing with the Bar of any U.S. State
3+ years of related experience and/or training
Equivalent combination of education and experience
Excellent verbal, written and organizational skills and strong attention to detail
Self-motivated with the ability to work independently in a fast-paced environment
Ability to prioritize and handle multiple tasks simultaneously
Analytical, critical thinking and problem solving skills with the ability to determine the appropriate action
Process management skills
Establish and maintain effective working relationships at all levels of the organization
Proficient in Microsoft Office Suite or similar software, with the ability to learn and utilize industry specific software as required
Ability to maintain confidentiality
Demonstrated reliability in attendance and work performance
Ability to travel as required

Company

Stephens

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Glassdoor3.8
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Stephens is a privately held financial services firm focused on building long-term relationships and long-term results.
dateFounded in 1933
location
Little Rock, Arkansas, USA
people-size1001-5000 employees
web-link
https://www.stephens.com

Funding

Current Stage
Late Stage

Leadership Team

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Jason Fair
Senior Vice President
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August B. Widmer
Investment Banking Vice President
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