PRACTICE AREAS : Financial Services, Regulatory & Government Relations
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JOB TYPE : In-House Company : New York Life
Position : Associate General Counsel, Broker-Dealer Attorney
Location : New York, NY
Description : The New York Life Office of General Counsel is seeking a strategic and practical retail broker-dealer attorney to join the legal team supporting New York Life’s Wealth Management division, consisting of NYLIFE Securities, a registered introducing broker-dealer, and Eagle Strategies, a registered retail investment adviser, both wholly-owned subsidiaries of New York Life Insurance Company.
This individual will advise on all issues affecting the business and distribution network of over 6,000 registered representatives.
The Assistant General Counsel will :
- Advise on applicable financial services related laws, rules, and regulations, including FINRA Rules, the Securities Exchange Act of 1934, Regulation Best Interest, and state securities laws and regulations applicable to FINRA member firms
- Provide strategic legal guidance and support on a wide variety of broker-dealer issues, including supervision, sales practices, conflicts of interest, registration, operations, and compliance
- Collaborate with business, compliance and legal teams to ensure compliance with all applicable laws and regulations and corporate policies applicable to retail broker-dealer products and services
- Communicate with various regulatory bodies directly and through industry associations regarding changes in laws and policies that may have an impact on the Wealth Management business
- Draft, review, and provide guidance on required regulatory and transactional documents, including Form CRS, customer account agreements, intermediary selling and servicing agreements, client profile forms, and best interest disclosures
- Work with the compliance department to prepare responses, including preparing witnesses, for routine and for-cause FINRA and SEC regulatory examinations
- Review vendor, product sponsor, sales / marketing materials and client forms and agreements
- Assist in the review and consideration of new products, programs and services offered by the Wealth Management businesses
- Draft, review and provide guidance on compliance and operational procedures
- 5+ years of relevant experience law firm, industry, or regulatory experience as a practicing attorney
- Substantial background and experience advising FINRA member broker-dealers and responding to regulatory examinations. Experience with insurance-affiliated broker-dealers and dual-registrants strongly preferred.
- J.D. (or equivalent law degree) required
- Strategic and critical thinking skills, excellent judgment, and ability to make independent decisions
- Excellent written and oral communication skills
- Admission to the New York State Bar required.
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