BCI - Brokerage Consultants Ltd.

Our Focus: Financial Services

We connect the right people with the right positions throughout the financial community.

  • Asset Management
  • Alternative Investments
  • Banking
  • Broker/Dealers
  • Commercial Lending
  • Consulting
  • Corporate Treasury
  • Family Offices
  • Financial Services Software Services
  • Insurance & Pension Funds
  • Municipal Finance
  • Private Equity
  • Real Estate Finance
  • Trading

Brokerage Consultants - Financial Recruiting

Tap our resources.

They run deep. Since our inception we've kept our focus trained exclusively on the financial industry, and we've built a vast network of contacts in the process. Let us put those resources to work for you. We'll connect you with the most current job openings at the most desirable companies in Chicago or nationwide.

Job Order:
545-20

Job Type:
Permanent

Title:
Associate General Counsel

Location:
Midwest US

Description:
The Associate General Counsel position will lead a dynamic, high-performing
team that handles a full range of legal matters arising in connection with
the firm’s broker-dealer, insurance and registered investment advisor
operations and will be responsible for administrative or legal affairs of
the Company.

The ideal candidate will have at least 10 years’ experience practicing as an
attorney and must have 5 or more years of experience practicing in the field
of securities and investment advisory services. Preference will be given to
candidates who have worked with independent broker-dealers and registered
investment advisor firms and have knowledge of the Investment Advisers Act
of 1940, Securities Act of 1933, Securities Exchange Act of 1934 and the
rules and regulations of the Financial Industry Regulatory Authority
(FINRA).

RESPONSIBILITIES:
Interface with and assist the General Counsel and senior management on
complex legal and regulatory matters including, but not limited to,
regulatory inquiries and examinations, legal opinions, contract
negotiations, litigations, arbitrations and human resource matters
Plan, organize and manage work activities assigned to corporate legal team
by the General Counsel
Negotiate agreements and draft contracts for complicated services and
relationships related to the firm’s broker-dealer, insurance and registered
investment advisor operations
Lead the budgetary process for area under direct supervision; oversee
quarterly budget reviews, analyze and provide explanation for budget
variances to Accounting leadership and Senior Management
Interface externally in a professional and courteous manner, including with
outside counsel, to achieve the Company’s common goals and ensure
communication of those goals and statuses to all necessary parties
Provide comprehensive solutions to complex problems or needs including
negotiating agreements and drafting contracts for complicated services and
relationships related to the Company’s broker-dealer, insurance and
registered investment advisor operations
Lead the completion of legal projects including contracts, correspondence,
reports, demands and pleadings and offer advice as it relates to any legal
commitments of the Company

REQUIREMENTS:
FINRA Series 7 and Series 24 required
Bachelor’s degree from a four-year college or university
Juris Doctorate from an ABA Accredited Law School
At least 10 years’ experience practicing as an attorney and 5+ years in the
field of securities and investment advisory services


Category:
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Contact:
zach@bcius.com